Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Heckert (Heckert), currently associated with Private Client Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Heckert recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $74,000.00 on January 08, 2026.
Claimant is the daughter of a client who passed away in August 2025. Claimant had power of attorney for her mother and alleges a breach of fiduciary duty because she was not advised that she would be unable to name herself as beneficiary on her mother’s accounts after transferring the accounts to a different custodian in November 2024 and she was not advised to seek legal counsel regarding the power of attorney prior to the transfer. As a result, she claims the breach will cost her approximately one-half of the value of the accounts because the accounts must go through probate and must be shared with a second heir to her mother’s estate (the daughter of her mother’s deceased son).