INVESTOR ALERT: RAND HECKLER Barred
Rand Heckler, formerly with Benjamin & Jerold Brokerage, Barred from Securities Industry
Have you lost money with financial advisor Rand Heckler of Glen Cove, New York? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Rand Alan Heckler. FINRA barred Heckler from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating Heckler after a customer filed a complaint regarding allegations of unsuitable recommendations, misrepresentations, and possible misappropriation.
Rand Heckler was a financial advisor and registered representative of Benjamin & Jerold Brokerage from January 2014 to April 2019. He worked at a branch office in Glen Cove, New York. Heckler has been the subject of five customer complaints.
Brokerage firms like Benjamin & Jerold Brokerage have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado and Seattle, Washington. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in New York and on Long Island. Our attorneys have represented over one thousand investors against many brokerage firms in the past.
Click to view: Heckler BrokerCheck
Click to view: Heckler, Rand FINRA AWC
If you lost money with Rand Heckler or Benjamin & Jerold Brokerage, please CONTACT US at 720-599-3505 for a free evaluation of your case.