Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 11, 2017 indicate that Florida-based Garden State Securities broker/adviser Jason Zwibel is involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Zwibel (CRD# 2460258).
Jason Zwibel has spent 23 years in the securities industry and has been registered with Garden State Securities in Wellington, Florida since 2010. Previous registrations include Gunnallen Financial in Wellington, Florida (2007-2010); Brookstreet Securities Corporation in West Palm Beach, Florida (1999-2007); First Securities USA in Irvine, California (2001-2004); Josephthal & Company in New York, New York (1995-1999); AR Baron & Company in New York, New York (1994-1995); and DH Blair & Company in New York, New York (1994). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 10, 2007; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 5, 1994; Series 7 (General Securities Representative Examination), which he obtained on March 25, 1994; and Series 24 (General Securities Principal Examination), which he obtained on March 22, 2000. He is a registered broker and investment adviser with 24 US states and territories: Alabama, Arizona, California, Colorado, Delaware, Florida, Illinois, Louisiana, Massachusetts, Missouri, Nebraska, Nevada, New Jersey, New Mexico, New York, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, Texas, Virginia, and Washington.
According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint, and two denied customer complaints, and was discharged from a former employer in connection to alleged rule violations.
In November 2017 a customer alleged Jason Zwibel, while employed at Garden State Securities, recommended unsuitable securities, acted negligently, and breached his fiduciary duty. The customer is seeking $2,670,750 in damages in the pending complaint.
In 2007 a customer alleged Jason Zwibel, while employed at Brookstreet Securities Corporation, failed in his supervisory duties in connection to another broker’s alleged misconduct. The complaint settled in 2008 for $50,000.
In 2000 a customer alleged Jason Zwibel, while employed at Josephthal & Company, executed unauthorized trades. The customer sought $65,000 in damages in the complaint, which was denied.
In 1998 a customer alleged he, while employed at Josephthal & Company, made an unauthorized purchase of Sciclone Pharmaceuticals stock. The customer sought $60,000 in damages in the pending complaint.
In 1994 he was terminated from his position at DH Blair & Company following allegations he was found to be in possession of qualified leads belonging to another account executive at the firm.
If you or someone you know has a complaint regarding Jason Zwibel, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be able to recover lost funds. Fitapelli Kurta accepts all cases on contingency: we only get paid if and when you collect money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.