July 2021- Independence, OH
According to publicly available records David Zuber (CRD#3239595), a former stockbroker who last worked for Securities America, Inc., has been permanently barred from FINRA.
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 April of 2021, in case #2019064979301, FINRA alleged that Zuber refused to appear for on the record testimony requested by FINRA in connection with its investigation into potential undisclosed outside business activities and private securities transactions. Zuber was permanently barred as a result of this investigation.
In April 2020, Zuber was discharged by Securities America, Inc. after allegations that he was involved in the offering of private securities investments not approved by the firm.
Zuber had worked for Securities America since February 2011. Before that time he was with JK Investment Group. Zuber discloses business affiliations with Arbor Point Advisors and Zuber Gardner CPAs, Inc., both of which are located in Independence, OH.
If you had an account with David Zuber that suffered losses, you may be entitled to collect damages from his prior employer. Call 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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