Abraham Heimann CRD

Abraham Heimann FINRA CRD

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Disclosure Events

The Following Types Have Been Reported

  • 4 Customer Disputes

Pending Customer Disputes

Reporting Source Employing Firm Allegations Alleged Damages
Firm Oppenheimer & Co INC and Cetera Advisors LLC  Lack of diversification fomr 10/2010- 7/2013 $1,500,000
Docket/Case # Date Notice
17-01951 07-25-17
Reporting Source Employing Firm Allegations Alleged Damages
Firm Cetera Advisors LLC and Oppenheimer  Breach of fiduciary duty, negligence, and failure to diversify the portfolio $30,000
Docket/Case # Date Notice
17-01009 04-20-17
Reporting Source Employing Firm Allegations Alleged Damages
Firm Oppenheimer and Cetera Advisors  Breach of fiduciary duty and negligence $2,000,000
Docket/Case # Date Notice
17-00766 03-21-17
Reporting Source Employing Firm Allegations Alleged Damages
Firm Oppenheimer & Co INC and Cetera Advisors LLC  Unsuitable investment, unauthorized trading, negligence, breach of fiduciary duty, breach of contract, and misrepresentation $876,195
Docket/Case # Date Notice
15-03220 01-19-16

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