Rand Alan Heckler of Glen Cove New York a stockbroker formerly registered with Benjamin Jerold Brokerage I LLC has been charged by Securities and Exchange Commission (SEC) with defrauding investors. SEC v. Rand Heckler and Rand Heckler Inc. Civil Action No. 1:20-cv-04654 (Sept. 30, 2020). According to the Complaint, in 2015, a senior investor’s securities…
Terence Patrick Dolan Jr. of Miami Florida a stockbroker formerly employed by Benjamin Jerold Brokerage I LLC has been identified in a Financial Industry Regulatory Authority (FINRA) investigation in which it has been initially recommended by the regulator for Dolan to face disciplinary action for failing to supervise securities transactions. Investigation Nos. 20170539737 and 20170553345…
Juergen Weber of New York New York a stockbroker formerly registered with Benjamin Jerold Brokerage I LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Weber neglected to cooperate with FINRA when he was investigated for effecting transactions in customer accounts without their…
Rand Alan Heckler of Glen Cove New York a stockbroker formerly registered with Benjamin Jerold Brokerage I LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Heckler failed to cooperate with a FINRA investigation into allegations of (1) Heckler misappropriating funds…