Samantha L Hendricks (CRD #5233941) Has a Customer Dispute Disclosure on FINRA BrokerCheck

Samantha L Hendricks (CRD #5233941) is a broker with a customer dispute on FINRA BrokerCheck. We reviewed her BrokerCheck report on April 21, 2026. It reflects one customer dispute. If you invested with Samantha L Hendricks and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Investor Disputes / Customer Complaints

Samantha Hendricks’s FINRA BrokerCheck Report reflects one customer dispute disclosure. A summary of the dispute is below:

On February 23, 2026, a customer alleged that Samantha Hendricks processed a $45,000 distribution from the customer’s individual IRA in 2025 without authorization after the customer filed for divorce from a spouse who also served as the customer’s financial advisor. The customer also alleged not receiving account statements, losing online access, and learning of the activity only after receiving a 2025 Consolidated 1099. Samantha Hendricks’s FINRA BrokerCheck Report lists the product type as “No Product.” The complaint was denied on March 17, 2026. Samantha Hendricks’s broker statement says the firm investigated the matter, deemed the claim without merit, and denied it.

Rule Summary #1: FINRA Rule 2231 (Customer Account Statements)

FINRA Rule 2231 governs customer account statements. In a dispute about missing statements or account access, this rule matters because investors should receive account communications that let them monitor account activity.

Rule Summary #2: FINRA Rule 4530 (Reporting Requirements)

FINRA Rule 4530 covers firms’ reporting duties for written customer complaints. A complaint alleging an unauthorized IRA distribution can raise questions about how the firm logged, reviewed, and reported the matter.

Why This Matters to Investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.

Reg BI has four key obligations:

Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.

Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.

Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.

Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.

Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.

Overall, Regulation Best Interest promotes transparency. It also aims to improve the quality of investment recommendations. It is designed to reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on her FINRA BrokerCheck report, Samantha Hendricks:

Is currently registered with Edward Jones.

Has passed the Securities Industry Essentials (SIE) exam. Samantha Hendricks has passed Series 31 and Series 7. She has also passed Series 66.

Was previously registered with firms that include Park Avenue Securities LLC and MML Investors Services, LLC.

Kurta Law Can Help

If you have worked with Samantha Hendricks and you have concerns about her activity, Kurta Law may be able to help you evaluate your legal options. A securities attorney can help you assess potential causes of action and determine whether your losses may be recoverable through FINRA arbitration or other avenues. Contact Kurta Law at 877-600-0098 or email info@kurtalawfirm.com for a free consultation.

Helpful resources: Unauthorized Trading | Securities Attorney

For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable. Our firm represents clients nationwide in securities arbitration and related disputes. If you believe a broker or firm mishandled your account, an attorney can review the facts and explain possible next steps.