Joseph Erik Zenker, of Nashville, Tennessee, a stockbroker currently registered with Raymond James & Associates, Inc., is the subject of a customer initiated investment related arbitration claim on June 1, 2017, based upon allegations including breach of contract, negligence, breach of fiduciary duty, violation of the blue sky laws of the State of Louisiana, as well as violation of Financial Industry Regulatory Authority (FINRA) rules in regard to transactions effected in the customer’s account.
FINRA Public Disclosure reveals that Zenker has been identified in four more customer initiated investment related disputes regarding allegations of his wrongdoing while employed with Citigroup Global Markets Inc. In particular, on December 21, 2011, a customer was awarded $12,500.00 in damages according to an investment related arbitration claim involving Zenker’s misconduct, based upon allegations that he breached his fiduciary duties, made misrepresentations to the customer, and effected mutual fund transactions in the customer’s account that were not suitable for the customer.
Moreover, on November 6, 2012, another customer initiated investment related arbitration claim regarding Zenker’s activities was resolved for $14,999.00 in damages based upon allegations that he effected unsuitable transactions in the customer’s account in reference to mutual funds and over-the-counter equities. Further, on June 16, 2017, a customer initiated investment related written complaint regarding Zenker’s activities was resolved for $235,000.00 in damages based upon allegations that he breached his contractual obligations to the customer and negligently managed the customer’s annuity and stock investments.
Guiliano Law Group
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