December 29,2014
James D. Zifer entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he willfully failed to disclose multiple federal and state tax liens on his Uniform Application for Securities Industry Registration.
According to the FINRA findings, there were three tax liens, totaling $131,000 entered against Zifer by the State of Ohio in 2009. In 2010 and 2011, seven additional tax liens entered against him. None were disclosed as required by industry rules.
Zifer was suspended for two months and assessed a $10,000 fine.
According to FINRA records Zifer was registered with Harbour Investments, Inc, from 8/2000-12/2013. He is currently registered with Client One Securities, LLC.
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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