Articles Tagged with Wedbush Securities

william heidenPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 17, 2018 indicate that California-based Wedbush Securities broker/adviser William Heiden has been involved in resolved or pending customer disputes and was recently named in a pending FINRA investigation. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Heiden (CRD# 2885156).

William Heiden has spent 20 years in the securities industry and has been registered with Wedbush Securities in Newport Beach, California since 2013. Previous registrations include Morgan Stanley in Newport Beach, California (2009-2013); Morgan Stanley & Company in Newport Beach, California (2007-2009); RBC Dain Rauscher in Newport Beach, California (2002-2007); Sutro & Company in San Francisco, California (2000-2002); and Crowell Weedon & Company in Los Angeles, California (1997-2000). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on July 20, 2005; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 20, 1997; Series 31 (Futures Managed Funds Examination), which he obtained on March 4, 2011; and Series 7 (General Securities Representative Examination), which he obtained on June 16, 1997. He is a registered broker and investment adviser with 19 US states: Arizona, California, Colorado, Connecticut, Florida, Idaho, Illinois, Iowa, Michigan, Minnesota, Missouri, Nevada, New Mexico, New York, North Carolina, South Carolina, Texas, Utah, and Washington.

According to his BrokerCheck report, he has received seven customer complaints and three pending customer complaints, and he was recently named in a FINRA investigation into alleged rule violations.

Larry BoggsPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 19, 2018 indicate that former Texas-based Wedbush Securities broker/adviser Larry Boggs has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Boggs (CRD# 1582741).

Larry Boggs has spent 29 years in the securities industry and was most recently registered with Wedbush Securities in Dallas, Texas (2015-2016). Previous registrations include Ameriprise Financial Services in Dallas, Texas (2009-2015); Ameriprise Advisor Services in Richardson, Texas (2009); Wells Fargo Advisors in Dallas, Texas (2002-2009); Prudential Securities in New York, New York (1991-2002); and Merrill Lynch in New York, New York (1986-1991). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 19, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 9, 1986; and Series 7 (General Securities Representative Examination), which he obtained on December 20, 1986. He is currently not registered with any state or firm.

According to his BrokerCheck report, Larry Boggs has been sanctioned by FINRA and was discharged from a former employer in connection to alleged rule violations.

Steve Woo Public records published by the Financial Industry Regulatory Authority (FINRA) on July 21, 2017 indicate that former California-based Wedbush Securities broker/adviser Steve Woo has received a customer dispute and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Woo (CRD# 5302065).

Steve Woo has spent eight years in the securities industry and was most recently with Wedbush Securities in Los Angeles, California (2016-2017). Previous registrations include JP Morgan Securities in Torrance, California (2012-2016); Chase Investment Services in Torrance, California (2010-2012); and Signator Investors in Irvine, California (2008-2009). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination) and Series 7 (General Securities Representative ExaminationTK). He is currently not registered with any state or firm.

According to his BrokerCheck report, Steve Woo was discharged from a former employer and has received one customer complaint.

Mark HeidenThe securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding California-based Wedbush broker/adviser William Heiden, also known as Mark Heiden (CRD# 2885156).

William Mark Heiden has spent eighteen years in the securities industry and has been registered with Wedbush Securities in Newport Beach, California since 2013. Previous registrations include Morgan Stanley in Newport Beach, California (2009-2013); Morgan Stanley & Company in Newport Beach, California (2007-2009); RBC Dain Rauscher in Newport Beach, California (2002-2007); Sutro & Company in San Francisco, California (2000-2002); and Crowell Weedon & Company in Los Angeles, California (1997-2000). He is a registered broker and investment adviser in 23 US states and territories. Continue Reading

The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding California-based Wedbush broker/adviser Kevin Scarpelli (CRD# 412116).

Kevin Scarpelli has spent 48 years in the securities industry and has been registered with Wedbush Securities in San Francisco, California since 1982. Previous registrations include Wedbush Noble Cooke (1980-1981); Birr Wilson & Company (1973-1981); and Dupont Walston (1966-1974). He is a registered broker and investment adviser in eighteen US states. Continue Reading