Mark Zeltser, of Brooklyn, New York, a stockbroker formerly registered with Meyers Associates, L.P., has been permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to respond to a FINRA information request. Letter No. 2014039091902 (Nov. 9, 2015). Prior to his permanent bar, on January 21, 2015, FINRA launched an investigation into whether Zeltser committed violations of FINRA Rules 2111, 2020, 2010, as well as Securities Exchange Act of 1934 Section 10(b).
Financial Industry Regulatory Authority (FINRA) Public Disclosure also reveals that on April 8, 2015, a customer filed an investment related arbitration claim involving Zeltser’s conduct based upon allegations that Zeltser mismanaged the customer’s investment account, failed to execute upon the customer’s instructions, and provided faulty advice pertaining to triple leveraged exchange traded fund transactions.
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