Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 25, 2018 indicate that Texas-based Raymond James & Associates broker/adviser Maria Hendershott has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Hendershott (CRD# 818681).
Maria Hendershott has spent 42 years in the securities industry and has been registered with Raymond James & Associates in Houston, Texas since 2006. Previous registrations include Legg Mason Wood Walker in Baltimore, Maryland (2001-2006); First Union Securities in St. Louis, Missouri (1990-2001); Lovett Underwood Neuhaus & Webb (1989-1990); Underwood Neuhaus & Company in Houston, Texas (1985-1989); Oppenheimer & Company (1983-1985); Prudential-Bache Securities (1982-1983); Lehman Brothers Kuhn Loeb (1978-1983); and EF Hutton & Company (1976-1978). She has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which she obtained on September 13, 1996; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on October 16, 1979; SIE (Securities Industry Essentials Examination), which she obtained on October 1, 2018; PC (AMEX Put and Call Exam), which she obtained on August 31, 1977; and Series 7 (General Securities Representative Examination), which she obtained on February 21, 1976. She is a registered broker and investment adviser with 24 US states and territories: Arizona, California, Colorado, Connecticut, Florida, Georgia, Hawaii, Illinois, Kansas, Kentucky, Louisiana, Massachusetts, Michigan, Mississippi, New Jersey, New Mexico, New York, North Carolina, Oklahoma, Oregon, Texas, Utah, Washington, and Wyoming. She is registered with five self-regulatory organizations (SROs): FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.
According to her BrokerCheck report, she has received three customer complaints and one pending customer complaint.
In August 2018 a customer alleged Maria Hendershott, while employed at Raymond James & Associates, breached contract and warranties, committed promissory estoppel, violated Texas securities law, ad breached her fiduciary duty. The customer is seeking $500,000 in damages in the pending complaint.
In September 2017 a customer alleged Maria Hendershott, while employed at Raymond James & Associates, grossly mismanaged the accounts, committed “investor abuse,” churned investments, breached her fiduciary duty, acted negligently, and violated industry rules. The complaint settled in September 2018 for $75,000.
In 2016 a customer alleged Maria Hendershott, while employed at Raymond James & Associates, breached her fiduciary duty, over-concentrated investments, recommended unsuitable securities, violated the Texas Securities Act, and misrepresented and omitted material facts. The complaint settled in February 2017 for $285,000.
In 1994 a customer alleged she, while employed at Kemper Securities, misrepresented and recommended unsuitable investments. The complaint settled for $20,000.
If you or someone you know has a complaint regarding Maria Hendershott, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be able to recover lost funds. Fitapelli Kurta accepts all cases on contingency: we only get paid if and when you collect money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.