Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 1, 2017 indicate that Florida-based Oppenheimer & Company broker/adviser Mark Zuckerman has received several customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Zuckerman (CRD# 1684211).
Mark Zuckerman has spent 23 years in the securities industry and has been registered with Oppenheimer & Company in Boca Raton, Florida since 2003. Previous registrations include CIBC World Markets in New York, New York; Olde Discount Corporation in Detroit, Michigan; Moore & Schley, Cameron & Company; Financial Northeastern Securities; and Apple Financial Corporation. He is a registered broker and investment adviser with 27 US states and territories.
According to his BrokerCheck report, he has received three customer complaints and one regulatory sanction.
In 2016 the Florida Office of Financial Regulation sanctioned him based on a finding that he was not properly registered in the state as an investment adviser representative. He was issued a fine of $7,5000 which was paid by the firm.
In 2012 a customer alleged Mark Zuckerman, while employed at Oppenheimer & Company, misrepresented and omitted material facts related to investments in auction rate securities. The complaint, in which he was not a named respondent, settled for $250,000.
In 2012 a customer alleged Mark Zuckerman, while employed at Oppenheimer & Company, misrepresented material facts related to an investment. The complaint, in which he was not a named respondent, settled for $275,000.
In 2011 a customer alleged Mark Zuckerman, while employed at Oppenheimer & Company, misrepresented auction rate securities as cash equivalents. The complaint, in which he was not a named respondent, settled with Oppenheimer’s agreement to buy back the ARS positions if they were not redeemed by the issuer by a certain date.
If you or someone you know has lost money investing with Mark Zuckerman, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.