Abraham Heimann, of Alpharetta, Georgia, a stockbroker currently registered with Cetera Advisors LLC, has been named in a customer initiated investment related arbitration claim on April 20, 2017, in which the customer requested $30,000.00 in damages based upon allegations that Heimann did not diversify the customer’s equity portfolio adequately, negligently managed the customer’s investments, and breached his fiduciary duties to the customer.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Heimann has been named in two more customer initiated investment related disputes regarding allegations of his wrongdoing while associated with Oppenheimer & Co. Inc. and Cetera Advisors LLC. In particular, on January 10, 2017, a customer filed an investment related arbitration claim involving Heimann’s conduct, in which the customer requested $876,195.00 in damages based upon allegations including misrepresentation, breach of contract, breach of fiduciary duty, negligence, unauthorized trading, and unsuitability in regard oil & gas investments and penny stocks effected in the customer’s account.
Subsequently, on March 31, 2017, a customer filed an investment related arbitration claim regarding Heimann’s activities, wherein the customer requested $2,000,000.00 in damages based upon allegations that Heimann negligently handled the customer’s investment portfolio, and breached his fiduciary obligations to the customer in reference to stock transactions effected in the customer’s account.
Heimann’s registration with Cetera Advisors LLC was terminated on February 8, 2016.
Guiliano Law Group
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