April 2017-Mitchelfield, NY
The FINRA records of Jonathan M. Zucker , a broker with Northeast Securities disclose a pending customer dispute.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In currently pending FINRA Case 16-1806, a customer of Northeast Securities seeks damages of $3,000,000 and alleges trades were done in account without his knowledge, churning and the use of margin in his accounts. Mr. Zucker denies the allegations.
Zucker has been registered with Northeast Securities since 1/2012.
If you have questions about an account handled by Jonathan M. Zucker , contact us to discuss to discuss your options.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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