MARK ALAN HAENNY is currently employed as a Broker and/or Investment Adviser at CETERA ADVISORS LLC located at 2975 GINNALA DR STE 260, LOVELAND, CO, 80538.
MARK ALAN HAENNY has worked at CETERA ADVISORS LLC since January 09, 2017
MARK ALAN HAENNY has 1 Disclosure Event(s).
Date: January 23, 2008 Category: Customer Dispute Allegations: CUSTOMER ALLEGES 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. Damage Amount Requested: $161,026.00 Damages Granted: $37,149.94 Broker Comment: CLIENT ALLEGED UNSUITABILITY AND DAMAGES OF OVER $250,000 RELATING TO CAPITAL GAINS TAXES, ATTORNEYS FEES AND PUNITIVE DAMAGES ATTRIBUTABLE TO UNSUITABILITY AND APPROXIMATELY $95,000 RELATING TO FIRM'S ALLEGED DELAY IN RESPONDING TO REQUEST TO REINSTATE ACCOUNT. FIRM DENIED SUITABILITY ISSUE AND SUGGESTED APPROXIMATELY $64,000 IN DAMAGES IF COMPLAINTANT PROVED SAID DELAY. PANEL DENIED ATTORNEYS FEES AND PUNITIVE DAMAGES AND INSTEAD AWARDED $32,874 IN UNSPECIFIED DAMAGES AND FEES ASSOCIATED WITH THE ARBITRATION. PANELISTS DID NOT PROVIDE ANY FURTHER EXPLANATION FOR THE AWARD.
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