Advisor Alert: Our Attorneys Are Investigating Mark Alan Haenny For Investment Fraud
Did You Lose Money Because of Mark Haenny?
Filed: November 6, 2023
Mark Haenny has been the subject of two (2) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.
Let’s begin our Patil Law Advisor Alert with a summary report on Mark Alan Haenny.
Who Is Mark Alan Haenny?
- Advisor Name: Mark Alan Haenny
- Aliases: Mark Haenny
- CRD: 4574656
- Location: Loveland, Colorado
- Current Employer: LPL Financial LLC
- Previous Firms: Cetera Advisors LLC and First Allied Advisory Services, Inc.
- Number of Known Customer Complaints: 2
- Can Mark Haenny Be Sued: Yes, in Private Arbitration
- Can Mark Haenny’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
- Highest Damages Allegation: $161,026
- Highest Settlement: $55,000
If you have suffered investment losses by Mark Haenny, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.
Customer Complaints Filed Against Mark Haenny For Broker Misconduct
As of this publication date, Mark Haenny has been the subject of 2 customer disputes. Let’s review them below.
In January 2020, a FINRA arbitration was filed against or in reference to Mark Haenny by a customer of First Allied Securities, Inc. alleging that the client’s financial advisor and former domestic partner recommended investments that were not suitable for her. The client generally alleges breach of fiduciary duty, unsuitability, negligence, and failure to supervise. On December 30, 2020, Mr. Haenny settled the claim for $55,000, and some or all of this amount may have been paid by Mr. Haenny’s employer and/or insurance carrier.
In January 2008, a FINRA arbitration was filed against or in reference to Mark Haenny by a customer of Charles Schwab & Co., Inc. alleging that in late November 2007, equity positions were sold from his account without authorization and without proper consideration of capital gain consequences, and that he was then placed into a Nuveen managed account without authorization. Per the customer, he lost over $161,026 because of Mr. Haenny’s actions. An arbitration panel found that Mark Haenny was negligent and awarded $37,149.94 in favor of the customers.
How To File A Claim Against Mark Haenny of LPL Financial LLC (previously with Cetera Advisors LLC and First Allied Advisory Services, Inc.) To Get Your Money Back.
If you have questions about Mark Haenny, LPL Financial LLC, Cetera Advisors LLC, First Allied Advisory Services, Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.