Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Haenel (Haenel), previously associated with Kovack Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Haenel recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $99,999.00 on March 17, 2021.
Claimant alleges breach of fiduciary duty, negligence, and breach of contract pertaining to the purchase, in Nov. 2017, of GPB Automotive Portfolio LP, a DPP.