Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 7, 2018 indicate that New Jersey-based Hennion & Walsh broker/adviser Richard Hveem has received regulatory sanctions as well as resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hveem (CRD# 2622370).
Richard Hveem has spent 21 years in the securities industry and has been registered with Hennion & Walsh in Parsippany, New Jersey since 1995. He has no previous registrations. He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 13, 2007; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 8, 1995; Series 7 (General Securities Representative Examination), which he obtained on November 11, 1996; and Series 52 (Municipal Securities Representative Examination), which he obtained on July 10, 1995. He is a registered broker and investment adviser with 36 US states and territories.
According to his BrokerCheck report, Richard Hveem has received two regulatory sanctions, three customer complaints, and one pending customer complaint.