Last Updated: March 2025 (Columbia Falls, MT)
Here’s what you need to know about Columbia Falls, MT, former stockbroker Cassandra Heitz:
- Name: Ms. Cassandra N. Heitz
- Former Employer: LPL Financial LLC
- Prior Employer: Investment Centers of America, Inc.
- Function: Stockbroker / Financial Advisor
- Primary Location: Columbia Falls, MT
- CRD#: 6171982
- Can Cassandra Heitz be sued in FINRA arbitration? Yes
- Sanctioned by FINRA? Yes
- Discharged by Prior Employer: Yes
- Judgments/Liens: 2 outstanding
If you’ve sustained damages from Ms. Heitz, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Cassandra Heitz As Your Stockbroker?
Cassandra Heitz was sanctioned by FINRA on January 7, 2025, for failing to respond to requests for information in connection with a regulatory investigation, leading to her suspension under FINRA Rule 9552.
Heitz was terminated by LPL Financial LLC on June 13, 2024, due to her failure to report a felony charge.
- Date of FINRA Action: January 7, 2025
- Judgment/Lien #1: $790.84 owed to City of Kalispell (Filed December 14, 2023).
- Judgment/Lien #2: $1,914.12 owed to Flathead County Treasurer (Filed August 10, 2023).
Allegations of Broker Misconduct Against Cassandra Heitz
FINRA has reported the following misconduct involving Cassandra Heitz:
- Failure to Respond to FINRA Requests: Heitz was suspended under FINRA Rule 9552 for failing to provide required information to regulators. This rule mandates compliance with regulatory inquiries, and noncompliance can result in suspension or permanent barring.
- Employment Termination Due to Felony Non-Disclosure: LPL Financial LLC discharged Heitz in June 2024 for not reporting a felony charge in a timely manner. FINRA Rule 4530 requires firms to report significant events, including criminal charges, and brokers are expected to update their records accordingly.
Recover Your Investment Losses Now With Rex Securities Law
Investigation of LPL Financial and LPL Brokers-Lawsuits, Arbitrations & Customer Disputes
If you have suffered investment losses in an account handled by Cassandra Heitz, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis, meaning that you do not pay legal fees unless we are successful.