Bruce Martin Zipper, of Miami, Florida, a stockbroker currently registered with Dakota Securities International, Inc., has been identified in a Financial Industry Regulatory Authority (FINRA) investigation into allegations that he may have violated the terms of a suspension that FINRA imposed upon him for violations of FINRA Rules.
Particularly, Zipper was fined and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that while associated with Dakota Securities International, he failed to preserve communications by the firm’s staff in reference to business transactions, and failed to create and implement supervision processes to ensure records were retained. Letter of Acceptance, Waiver and Consent, No. 2013035303301 (Apr. 22, 2016). Zipper was found by FINRA to have violated FINRA Rules 4511 and 2010, as well as NASD Rules 3110 and 3010.
FINRA Pubic Disclosure reveals that on March 10, 2015, a customer initiated investment related arbitration claim involving Zipper’s conduct was settled for $50,000.00 in damages based upon allegations that he effected stock transactions in the customer’s account which were not suitable for the customer.
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