One or more investors possibly experienced losses because of securities broker Scott Jason Hechler [CRD: 5277526, Garden City, New York], based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Hechler has worked for Spartan Capital Securities LLC since May 15, 2023. Previously, he worked at SW Financial from December 10, 2019 to May 11, 2023, and at Worden Capital Management LLC from November 4, 2016, to December 17, 2019—both firms were later expelled by FINRA. Read on to discover more about Hechler’s disclosures and the disputes involving his former clients.
Evidently, an SW Financial client filed FINRA Arbitration No. 22-02586 about Scott Hechler. The client alleged unauthorized trading, excessive trading, negligence, excessive commissions, and unsuitable trading. Because of this, the client allegedly sustained damages connected to over-the-counter equities and stocks. Therefore, on March 29, 2024, SW Financial settled this matter by paying the client $140,000.00 in damages.
Also, a Worden Capital Management LLC client filed FINRA Arbitration No. 22-00347 about Scott Hechler. Mainly, the client alleged that Hechler engaged in unauthorized trading. The claim also alleged churning, negligence, unsuitable trading, breach of contract, and excessive commissions linked to stocks and over-the-counter equities. As a result, on December 27, 2023, Worden Capital Management LLC settled this matter by paying the client $3,500.00 in damages.
Specifically, a client of Legend Securities Inc. disputed Scott Hechler’s sales practices by filing FINRA Arbitration No. 15-00272. Allegedly, Hechler made misrepresentations and engaged in churning, resulting in damages linked to over-the-counter equities and stocks. Therefore, Legend Securities Inc. agreed to settle the matter on July 5, 2016, by compensating the client in the amount of $24,999.00.
Do you have concerns or questions regarding investments you made with Scott Hechler? You should reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney about a possible recovery of your investment losses. For more than a decade, Soreide Law Group has recovered losses for clients throughout the United States. The firm also works on a contingency fee basis and advances all costs. Hechler and brokerage firms Hechler worked for deny all allegations of sales practice violations.
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
Every settled customer dispute on Peter Maller's BrokerCheck report names Lincoln Financial as the firm. Maller holds CRD number 2322403. The newest dispute, filed on March 5, 2024, settled on August 15, 2024 for $12,500 against alleged damages of $50,000. The claimants alleged that the representative represented an oil and gas investment as safe.
Phone:
Fax: 1-954-760-6553
Email: [email protected]