According to a FINRA disciplinary action announcement, Steven Bruce Heinz (CRD #1227117, Orem, Utah) recently submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Heinz consented to the sanction and to the entry of findings that he refused to appear and provide testimony as requested by FINRA. The findings stated that during the course of an investigation into the conduct of Heinz and another registered representative relating to, among other things, 1035 annuity exchanges, FINRA requested that Heinz appear to testify. Heinz did not appear and provide testimony on the scheduled date and informed FINRA that he would not appear to testify at any future date.
For the full FINRA findings, see Case #2013038124101.
According to his FINRA Broker Report, Heinz was registered with Ogilvie Security Advisors Corporation from April 2004 through October 2012.
The foregoing information, which is all publicly available on FINRA’s website, is being provided by The White Law Group.
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee.
For a free consultation with a securities attorney, please call The White Law Group at 312/238-9650. For more information on the firm, visit https://whitesecuritieslaw.com.
Tags: Steven Bruce Heinz 1035 annuity exchange, Steven Bruce Heinz annuities, Steven Bruce Heinz annuity, Steven Bruce Heinz FINRA complaint, Steven Bruce Heinz FINRA investigation, Steven Bruce Heinz FINRA lawsuit, Steven Bruce Heinz Ogilvie Last modified: November 2, 2023