Jonathan Michael Zucker, of Mitchelfield, New York, a stockbroker currently registered with Northeast Securities, Inc., is the subject of a customer initiated investment related arbitration claim, where the customer was awarded $1,758,000.00 in compensatory damages supported by allegations that the customer’s account was handled with negligence; the customer’s investments were churned and induced by Zucker’s misrepresentations to the customer. FINRA Arbitration No. 16-01806 (July 10, 2017).

The customer additionally accused Zucker and Northeast Securities, Inc., of having violated rules of Financial Industry Regulatory Authority (FINRA) and Securities and Exchange Commission (SEC), claimed that Northeast Securities, Inc. failed to supervise Zucker’s activities, and ultimately alleged to be defrauded in reference to corporate bonds effected in the customer’s account.

Zucker has been registered with Northeast Securities, Inc. since January 31, 2012. Since June 17, 1997, he has been associated with seven different broker dealers, one of which has been expelled by securities regulators for violation of federal securities laws or is otherwise defunct.

Guiliano Law Firm

Our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.

For more information concerning common claims against stockbrokers and investment professionals, please visit us at stockbrokerfraud.com

To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com

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