Investors potentially incurred losses because of securities broker Jan Earl Haynes [CRD: 833875, La Jolla, California], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Haynes worked for Integrity Brokerage Services Inc. from January 3, 2017, to April 20, 2020. Investors can see below to find out more about disclosures involving this broker.
Integrity Brokerage Investor Accused Haynes Of Unsuitable Recommendations
Particularly, an Integrity Brokerage Services Inc. client filed FINRA Arbitration No. 23-02015 about Jan Haynes. Mainly, the client alleged that Haynes made unsuitable recommendations. For this reason, the client allegedly experienced damages in viatical settlements. Therefore, on March 20, 2024, Integrity Brokerage Services Inc. settled this matter by paying the client $7,500 in damages.
Jan Haynes Subject Of California Regulatory Action About Omissions
Specifically, a California regulator initiated a case on December 10, 2021, seeking a permanent bar against Haynes. Allegedly, Haynes failed to disclose material facts while offering and selling membership interests in investment funds, and took investor funds in violation of rules prohibiting manipulative or deceptive schemes involving membership interests in investment funds.
Regulator Sanctioned Haynes For Failure To Respond To FINRA
Also, on November 12, 2021, the Financial Industry Regulatory Authority issued Case: 2021072408801 sanctioning Jan Haynes. Specifically, Haynes was suspended indefinitely from associating with any FINRA member firm in all capacities. Notably, FINRA alleged that Haynes failed to respond to its requests for information.
Jan Haynes Disclosed Misrepresentation And Breach Of Fiduciary Duty Allegations By Centaurus Financial Client
Evidently, a client of Centaurus Financial Inc. and Integrity Brokerage Services Inc. contested Jan Haynes’s sales practices by filing FINRA Arbitration No. 21-01782. Allegedly, Haynes made misrepresentations, recommended unsuitable investments, and breached his fiduciary duty. It appears that Haynes allegedly caused the client to incur damages in connection with real estate securities. As a result, the employing firms opted to settle the matter on May 23, 2022, by paying the client $110,000.
Did You Invest With Financial Advisor / Securities Broker Haynes?
Did you experience losses because of Jan Haynes? Contact Soreide Law Group at (888) 760-6552 or online and consult with a securities attorney concerning a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the US. Also, the firm works on a contingency fee basis and advances all costs. Haynes and brokerage firms Haynes worked for deny allegations of sales practice violations.
