RedFlags, Allegations and Complaints against KASEY WILLIAM HAFENBRACK
Disclosure #1 for KASEY HAFENBRACK
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- Event Date: 8/28/2012
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Settled
- Disclosure Detail :: Allegations: ON VARIOUS DATES IN 2008 CUSTOMERS INVESTED IN THE DBSI 2008 NOTES CORPORATION (THROUGH A PRIVATE PLACEMENT MEMORANDUM) WHICH SUBSEQUENTLY DECLARED BANKRUPTCY. THE BANKRUPTCY ESTATE ESTABLISHED A PRIVATE ACTIONS TRUST TO COLLECT ASSETS FOR DISTRIBUTION TO INVESTORS. THE TRUSTEE OF THE PRIVATE ACTIONS TRUST IS ALLEGING THE FOLLOWING CAUSES OF ACTIONS AGAINST ME ON BEHALF OF THE ABOVE LISTED CUSTOMERS: 1.VIOLATION OF 10(B) AND RULE 10(B)(5) OF THE SECURITIES EXCHANGE ACT OF 1934. 2.BREACH OF CONTRACT 3.COMMON LAW FRAUD 4.NEGLIGENCE 5.BREACH OF FIDUCIARY DUTY
- Settlement Amount: $4,000.00
- Broker Comment: ON VARIOUS DATES IN 2008 CUSTOMERS INVESTED IN THE DBSI 2008 NOTES CORPORATION (THROUGH A PRIVATE PLACEMENT MEMORANDUM) WHICH SUBSEQUENTLY DECLARED BANKRUPTCY. THE BANKRUPTCY ESTATE ESTABLISHED A PRIVATE ACTIONS TRUST TO COLLECT ASSETS FOR DISTRIBUTION TO INVESTORS. THE TRUSTEE OF THE PRIVATE ACTIONS TRUST FILED THIS COMPLAINT.
Disclosure #2 for KASEY HAFENBRACK
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- Event Date: 11/27/2009
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Settled
- Disclosure Detail :: Allegations: ALLEGATIONS THAT DBSI PURCHASE UNSUITABLE
- Damage Amount Requested: $300,000.00
- Settlement Amount: $185,000.00
- arbitrationDocketNumber: 09-06607
- Broker Comment: To my knowledge, I was not involved in the transactions at issues. All other parties agreed with my request to have this matter expunged from my record.
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Should I file a FINRA complaint against brokers like KASEY WILLIAM HAFENBRACK?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
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