Tag Archives: William Mark Heiden

Investors Sue Wedbush Securities For Fraud

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 […]

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FINRA Sanctions Wedbush Stockbroker For Unauthorized Trading

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 […]

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Wedbush Securities Sued By Customer For Suitability

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 […]

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Morgan Stanley Named In FINRA Arbitration

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 […]

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