Public 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.