Jan E. Haynes-Former Integrity Brokerage Services Broker-Discloses Customer Disputes and Regulatory Suspension-LaJolla, CA

Jan E. Haynes-Former Integrity Brokerage Services Broker-Discloses Customer Disputes and Regulatory Suspension-LaJolla, CA 150 150 ER

Jan E. Haynes Investigation

March  2022- La Jolla, CA

The FINRA records of  Jan Earl Haynes,  a  stock broker who is currently suspended by FINRA and who was last employed by Centaurus Financial,  disclose  a pending regulatory event (State of California) , 2 prior regulatory events, a pending customer dispute  and 12 prior  customer disputes.

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In December of 2021, The State of California filed case # 833875 alleging that “Haynes, while a registered broker-dealer, offered and sold securities to a client without disclosing material facts. Haynes took client money in violation of the rules prohibiting manipulative, deceptive, or fraudulent schemes, or devices.”  Sanctions sought are for Haynes to be permanently barred from FINRA in all capacities.   That case is pending.

In 11/2021 FINRA suspended Haynes indefinitely for failing to cooperate with a FINRA investigation.

Earlier in his career, in 1997,  Haynes was denied registration by the state of Indiana for failure to submit a detailed written explanation of a disciplinary action that appears on his disciplinary record.

Prior customer disputes involving Haynes include:

In March of 2021, a Centaurus Financial, Inc. customer filed FINRA case #21-00436 alleging that Haynes recommended illiquid and complex investments.  The case settled for $45,000 in 10/2021.

In  FINRA arbitration 14-01882, a customer of Haynes former employer National Securities Corp., alleged  breach of fiduciary duty, misrepresentation, omissions, negligence and breach of contract in connection with an investment in private placements. That case was settled for $13,000.

In 10/2015, a customer of National Securities was paid $22,500 to resolve allegations that Haynes misrepresented an Investment in promissory notes.

In 11/2008, a customer of Hayne’s prior employer First Montauk Securities was paid $195,000 to resolve allegations that Haynes committed fraud, made unsuitable recommendations and churned the customer’s account.

Haynes  has 42 years experience as a registered broker and has worked for 18 different firms during that time. His most recent employment history includes:

  • Integrity Brokerage Services                      1/2017-4/2020
  • Centaurus Financial                              9/2010-10/2016
  • National Securities Corp.                    1/2007-9/2010

Haynes discloses a business affiliation with Haynes Tax Advisory in La Jolla, CA.

If you have losses in an account handled or supervised by Jan E. Haynes you may be able to recover damages from his former employer through FINRA arbitration.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

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Rex Securities Law

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