William Mark Heiden of Newport Beach, California, a stockbroker formerly registered with Wedbush Securities, is identified in a customer initiated investment related FINRA securities arbitration claim which was resolved for $70,000.00 in damages based upon accusations of unsuitable and unauthorized trading of stocks by Heiden during the time that he was registered with Wedbush Securities…
William Mark Heiden of Newport Beach California a stockbroker registered with Wedbush Securities Inc. is the subject of a customer initiated investment related arbitration claim which was settled for $475,000.00 in damages based upon allegations that (1) unauthorized trades were effected in the customer’s account (2) the customer was defrauded through misrepresentations (3) a fiduciary…
William Mark Heiden of Newport Beach California a stockbroker formerly registered with Wedbush Securities Inc. has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to an Office of Hearing Officers Order Accepting Offer of Settlement containing findings that Heiden executed unauthorized trades in accounts…
William Mark Heiden, of Newport Beach, California, a stockbroker currently employed with Wedbush Securities, is the subject of a customer initiated investment related arbitration claim, where the customer has requested $41,835.00 in damages founded on accusations that investment recommendations relating to Clearbridge American Energy master limited partnership interests were not suitable for the customer, fiduciary…
William Mark Heiden, of Newport Beach, California, a stockbroker formerly registered with Morgan Stanley, has been named in a customer initiated investment related arbitration claim on January 24, 2017, in which the customer requested $950,718.24 in damages based upon allegations that Heiden, from 2012 to 2016, effected equity transactions in the customer’s account which were…