Jonathan Michael Zucker, of Mitchelfield, New York, a stockbroker currently registered with Northeast Securities, Inc., is the subject of a customer initiated investment related arbitration claim, where the customer was awarded $1,758,000.00 in compensatory damages supported by allegations that the customer’s account was handled with negligence; the customer’s investments were churned and induced by Zucker’s misrepresentations to the customer. FINRA Arbitration No. 16-01806 (July 10, 2017).
The customer additionally accused Zucker and Northeast Securities, Inc., of having violated rules of Financial Industry Regulatory Authority (FINRA) and Securities and Exchange Commission (SEC), claimed that Northeast Securities, Inc. failed to supervise Zucker’s activities, and ultimately alleged to be defrauded in reference to corporate bonds effected in the customer’s account.
Zucker has been registered with Northeast Securities, Inc. since January 31, 2012. Since June 17, 1997, he has been associated with seven different broker dealers, one of which has been expelled by securities regulators for violation of federal securities laws or is otherwise defunct.
Guiliano Law Group
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