UPDATE 4/12/2020: According to FINRA’s February 2020 Disciplinary Actions: “Individual Suspended for Failure to Prove Information or Keep Information Current Pursuant to FINRA Rule 9552(d).” (FINRA Case #2018060108301)
Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Eric Zakarin. If you suffered losses investing with Eric Zakarin, then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Eric Zakarin (CRD# 1708397)
As of April 12, 2020, Eric Zakarin’s FINRA BrokerCheck Report contains the following:
Disclosure Events
6 Customer Dispute(s)
1 Regulatory Event(s)
2 Employment Separation After Allegations
2 Financial Disclosure(s)
Current and Previous Registrations
05/12/2017 – 10/10/2018 LOMBARD SECURITIES INCORPORATED (CRD#:27954) Cranford, NJ
05/13/2015 – 03/30/2017 INDEPENDENT FINANCIAL GROUP, LLC (CRD#:7717) BASKING RIDGE, NJ
07/12/2013 – 05/01/2015 WELLS FARGO ADVISORS, LLC (CRD#:19616) WESTFIELD, NJ
06/01/2009 – 08/06/2013 MORGAN STANLEY (CRD#:149777) SHORT HILLS, NJ
04/02/2007 – 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) SHORT HILLS, NJ
09/08/2006 – 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) SHORT HILLS, NJ
08/09/1996 – 09/20/2006 UBS FINANCIAL SERVICES INC. (CRD#:8174) WESTFIELD, NJ
07/31/1993 – 08/08/1996 SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
07/21/1987 – 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with Eric Zakarin and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
This information is all publicly available and is being provided to you by Galvin Legal, PLLC.
Galvin Legal, PLLC is a national securities arbitration, securities mediation, securities litigation, securities fraud, securities regulation and compliance, and investor protection law practice. For more information on Galvin Legal, PLLC and its representation of investors, please visit www.galvinlegal.com or call 1-800-405-5117.
