FINRA Broker Check: Abraham Heimann

Abraham Heimann CRD

Disclosure Events

The Following Types Have Been Reported

• 4 Customer Disputes

Pending Customer Disputes
Reporting Source: Firm

Employing Firm: Oppenheimer & Co INC and Cetera Advisors LLC

Allegations: Lack of diversification fomr 10/2010- 7/2013

Alleged Damages: $1,500,000

• Docket/Case #: 17-01951
• Date Notice: 07-25-17

Reporting Source: Firm

Employing Firm: Cetera Advisors LLC and Oppenheimer

Allegations: Breach of fiduciary duty, negligence, and failure to diversify the portfolio

Alleged Damages: $30,000

• Docket/Case #: 17-01009
• Date Notice: 04-20-17

Reporting Source: Firm

Employing Firm: Oppenheimer and Cetera Advisors

Allegations: Breach of fiduciary duty and negligence

Alleged Damages: $2,000,000

• Docket/Case #: 17-00766
• Date Notice: 03-21-17

Reporting Source: Firm

Employing Firm: Oppenheimer & Co INC and Cetera Advisors LLC

Allegations: Unsuitable investment, unauthorized trading, negligence, breach of fiduciary duty, breach of contract, and misrepresentation

Alleged Damages: $876,195

• Docket/Case #: 15-03220
• Date Notice: 01-19-16