David Brian Zuber (also known as David Brown Zuber) of LaVista Nebraska a stockbroker formerly registered with Securities America Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he failed to comply with a FINRA investigation concerning private securities transactions and outside business activities. Letter of Acceptance Waiver and Consent No. 2019064979301 (Apr. 9, 2021).
According to the AWC, FINRA was made aware from Securities America that Zuber had been discharged on April 13, 2020 based upon allegations that he took part in the offer of securities that Securities America did not approve of. Zuber was accused of selling away from the securities broker dealer.
On February 3, 2021, Zuber received correspondence from FINRA in regard to its investigation into his activities. He was asked by the regulator to provide recorded testimony in response to accusations against him of engaging in private securities transactions and outside business activities.
FINRA was told by Zuber’s lawyer that Zuber received the request to testify. Zuber’s lawyer relayed that the stockbroker would not appear and answer questions for FINRA under oath. FINRA determined that Zuber violated FINRA Rules 2010 and 8210 for his refusal to cooperate.
Zuber was registered with Securities America between February 16, 2011 and May 12, 2020.
