Eric Alan Zakarin, of Westfield, New Jersey, a stockbroker formerly registered with Wells Fargo Advisors, has been named in a customer initiated investment related written complaint, which settled on June 28, 2016, for $3,719.53 in damages based upon allegations that Zakarin effected unauthorized mutual fund transactions in the customer’s account.
Financial Industry Regulatory Authority (FINRA) Public Disclosure also reveals that on July 15, 2002, a customer initiated investment related written complaint involving Zakarin’s conduct was settled for $20,000.00 in damages based upon allegations that Zakarin, while associated with UBS PaineWebber Inc., effected over-the-counter equity transactions in the customer’s account despite lacking the customer’s consent.
Zakarin was terminated by Wells Fargo Advisors, LLC, on April 1 ,2015, based upon allegations that he assisted a customer in repatriating foreign currency. Zakarin was subsequently associated with Independent Financial Group, LLC, from May 13, 2015, to March 30, 2017.
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