Investor Alleges Sales Practice Violation In Dispute About Broker Mark Haenny
Investment loss recovery counsel at Soreide Law Group provides you with new information on securities broker Mark Alan Haenny (CRD#: 4574656, Loveland, Colorado), who discloses information about investor complaints on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Haenny worked as a securities broker or financial advisor for First Allied Securities from 2011 to 2017. Also, he worked for Charles Schwab from 2006 to 2011. For more information concerning the allegations against this securities broker, read the following summary of disclosures as reported on BrokerCheck.
First Allied Securities Settles With Client Who Alleges Unsuitable Investments By Mark Haenny
Particularly, a client objected to Mark Haenny’s actions as a securities broker when working for First Allied Securities, as the client brought an investment dispute on January 17, 2020. Supposedly, Haenny or his employer caused damages to the client through their investments in DPPs and LPs. Notably, the client makes allegations of unsuitable recommendations, breach of fiduciary duty, unsuitable trading, negligence, and failure to supervise. Evidently, the client agreed to settle their allegations for $55,000 in damages per a settlement on December 30, 2020.
Client Awarded Compensation After Bringing Claim Alleging Breach Of Fiduciary Duty, Misrepresentation By Haenny At Charles Schwab
Also, a client of Charles Schwab expressed concerns about Mark Haenny’s sales practices. Mainly, the investor alleges misrepresentation, financial abuse, breach of fiduciary duty, unsuitable trading, and negligence. Notably, Haenny purportedly caused the client to face damages via his actions relating to equities. For this reason, the client received an award of $37,149 in damages.
Did You Sustain Damages By Investing Through Mark Haenny?
You should call Soreide Law Group at (888) 760-6552 and talk with a helpful securities lawyer about a possible recovery of your losses. Soreide Law Group represents investor clients on a contingency fee basis and advances all costs. The firm has recovered meaningful compensation for investors in the US who incurred losses from their securities brokers or financial advisors. Please note that Haenny denies all accusations of sales practice violations.
