Harbour Investments

Broker Mark Herding in Harbour Investments, INC. Firm Has Customer Complaint

June 1, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Mark Herding (Herding), currently associated with Harbour Investments, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Herding concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint on April 13, 2026.

Statement of claims alleges an investment recommendation was made for the purpose of generating high commissions and fees and that claimants were deprived of the ability to generate reasonable returns that would have been received in a diversified portfolio

There are Recent Customer Complaints with Broker Mark Herding in Firm Harbour Investments, INC.

May 17, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Mark Herding (Herding), currently associated with Harbour Investments, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Herding concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint on March 13, 2026.

Statement of Claim alleges an investment recommendation was made for the purpose of generating high commissions and fees and that Claimants were deprived of the ability to generate reasonable returns that would have been received in a diversified portfolio.

Broker Dennis Plagenz in Harbour Investments, INC. Firm Has Customer Complaint

March 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dennis Plagenz (Plagenz), previously associated with Harbour Investments, INC., has at least one disclosable event. These events include one customer complaint, alleging that Plagenz 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 $633,000.00 on November 23, 2020.

Client alleges negligence, negligent misrepresentation/unsuitability, breach of duty, and failure to supervise regarding 2009 variable annuity purchase.

Broker Gerald Lencke in Harbour Investments, INC. Firm Has Customer Complaint

June 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerald Lencke (Lencke), previously associated with Harbour Investments, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lencke recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $500,000.00 on December 04, 2023.

Beginning in or around 2018, Client alleges breach of contract and warranties, breach of fiduciary duty, negligence and gross negligence, misrepresentation/omission, unjust enrichment, failure to supervise and vicarious & control person liability.