January 2020 – Wellington, FL
The FINRA records of Jason Eric Zwibel, a stockbroker who is currently employed by Garden State Securities, disclose a pending customer dispute, 4 prior customer disputes and a termination from employment.
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 19-2086 a customer of Garden State Securities seeks unspecified damages and alleges unsuitable investments and breach of fiduciary duty.
In 11/2018 a customer of Garden State Securities was paid $110,000 to settle allegations that Zwibel made unsuitable investments. FINRA Case 17-2864
Zwibel has been employed by Garden State Securities since 1/2010.
If you have questions about an account handled by Jason E. Zwibel call for a no charge consultation to learn more about your legal 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.
Florida-561 391 1900