ALAN STEWART HAENEL is currently employed as a Broker and/or Investment Adviser at VANDERBILT SECURITIES, LLC located at 2070 DEER PARK AVENUE, DEER PARK, NY, 11729.
ALAN STEWART HAENEL has worked at VANDERBILT SECURITIES, LLC since September 10, 2004
Disclosure History
ALAN STEWART HAENEL has 2 Disclosure Event(s).
Date: August 31, 1999 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT FORMER PAINEWEBBER IE MISLEAD "US" INTO A MARGIN ACCOUNT THAT GAVE "US" A $12,000 LOSS. CLIENT ALSO ALLEGES THAT ACCOUNT WAS A COMMISSION "CHURN MILL". NO PRODUCT OR TIME PERIOD SPECIFIED. Damage Amount Requested: $12,000.00
Date: September 11, 1991 Category: Regulatory Initiated By: MARYLAND SECURITIES DEPT Allegations: AN ORDER OF SUMMARY SUSPENSION WAS ENTERED INCONJUNCTION WITH ORDER TO SHOW CAUSE DUE TO REPONDENT'S FAILURETO DISCLOSE HIS CHAPTER 7 BANKRUPTCY ON HIS AGENT APPLICATION Resolution: Consent SanctionDetails: Sanctions: Monetary/Fine SanctionDetails: Amount: $500.00 Sanction Details: RESPONDER AGREED TO COMPLY WITH MARYLANDSECURITIES ACT, PAID ADMINISTRATIVE COSTS OF $500.00 TOMARYLAND SECURITIES. THE COMMISSIONER AGREED TO CONSENT ORDERAND REINSTATED REPONDENT'S REGISTRATION AS A SECURITY AGENT INTHEIR STATE. DUE TO A CLERICAL MISTAKE PAINE WEBBER ASSUMED THE$500.00 ADMINISTRATION COST, BROKER DID NOT ASK TO BEREGISTERED IN MD & PAINEWEBBER WAS AWARE OF BANKRUPTCY PROCEED Broker Comment: NOT PROVIDED
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