Jan E. Haynes, of La Jolla, California, a stockbroker formerly registered with Centaurus Financial, Inc., has been named in twelve customer initiated investment arbitration actions, according to FINRA Public Disclosure. Particularly, on July 17, 2014, Haynes settled a customer initiated investment arbitration action for $22,500.00 in damages based upon allegations that Haynes misrepresented facts to the customer regarding investments.
On July 14, 2014, Haynes settled a customer initiated investment arbitration action for $17,750.00 in damages based on allegations that Haynes breached his contractual and fiduciary duties to the customer, committed negligence, and made omissions and misrepresentations concerning investments.
On November 7, 2012, Haynes settled another customer initiated investment arbitration action for $10,000.00 in damages based upon allegations that Haynes churned the customer’s account, effected unauthorized trades, misrepresented the risks of investments, made unsuitable investment recommendations to the customer, and committed fraud and elder abuse.
On November 7, 2006, Haynes settled a customer initiated investment arbitration action for $195,000.00 in damages based upon allegations that Haynes acted negligently with regard to the handling of the customer’s account, effected unsuitable transactions, churned the customer’s account, and failed to supervise a registered representative in her capacity as branch office manager.
On March 21, 2006, Haynes settled a customer initiated investment arbitration action for $15,000.00 in damages based upon allegations that Haynes effected unsuitable trades in the customer’s account. On October 21, 1996, Haynes settled a customer initiated investment arbitration claim for $11,000.00 in damages based upon allegations that Haynes effected unauthorized trades in the customer’s margin account, and traded in a manner which was not consistent with the customer’s investment objectives.
FINRA Public Disclosure also reveals that on November 13, 1997, The State of Indiana’s Securities Commissioner issued an Order revoking Haynes’ securities registration based upon allegations that Haynes failed to cooperate in an investigation into Haynes’ legal matters and other disciplinary history.
Since 1977, Haynes has been associated with nineteen different broker dealers, one of which has been expelled by securities regulators for violation of federal securities laws or is otherwise defunct.
Guiliano Law Group
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