Richard Heuberger is an Illinois based securities broker. He has worked in the securities industry for twenty-two years. During his career, he has been registered with five different securities firms.
His registrations include; The Equitable Life Assurance Society of the United States (1997-2000), AXA Advisors (1997-2000), Brecek & Young Advisors, Inc. (2000-2001), Sigma Financial Corporation (2001-2014), and Securities America, Inc. (2014-Present).
Richard Heuberger’s publicly available FINRA BrokerCheck report shows that he has received multiple customer complaints over the course of his career.
In June 2013, a customer alleged misrepresentation, breach of contract, and negligence. These allegations were concerning a TIC investment. This case was settled for $78,000 in damages.
In October 2016, a customer alleged misrepresentation, breach of fiduciary duty, and negligence. This complaint also concerned a TIC investment purchased in 2007 and 2009.
In November 2016, a customer alleged fraud, breach of fiduciary duty, negligence, and breach of contract. These allegations were also in connection with a TIC investment. This case was settled for $85,000 in damages.
Oakes & Fosher dedicates its entire legal practice to helping investors across the nation. If you, or someone you know, have lost money investing with Richard Heuberger, please contact Oakes & Fosher for a free and private consultation.