Tag Archives: Eric Alan Zakarin

Lombard Stockbroker Barred In Investigation

April 18, 2020  |   Posted by :   |   Breach of Fiduciary Duty, Investment and Regulatory News   |   Comments Off on Lombard Stockbroker Barred In Investigation

Eric Alan Zakarin of Cranford New Jersey a stockbroker formerly registered with Lombard Securities Corporation has been barred by Financial Industry Regulatory Authority (FINRA) from associating with any FINRA member in any capacity based upon allegations that the stockbroker neglected to provide information to the regulator. FINRA Case No. 2018060108301 (Mar. 2, 2020). FINRA Public […]

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Lombard Terminates Broker For Unauthorized Churning Of Customer Accounts

Eric Alan Zakarin of Cranford New Jersey a stockbroker formerly registered with Lombard Securities Incorporated has been terminated by the firm on October 10, 2018 based upon allegations that (1) Zakarin generated excessive commissions from customers and (2) Zakarin executed trades in customer accounts that customers’ possibly had not authorized. This is not the first […]

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Customer Sues Wells Fargo Advisors For Unauthorized Trading

May 05, 2017  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Eric Alan Zakarin, of Westfield, New Jersey, a stockbroker formerly registered with Wells Fargo Advisors, has been named in a customer initiated investment related written complaint, which settled on June 28, 2016, for $3,719.53 in damages based upon allegations that Zakarin effected unauthorized mutual fund transactions in the customer’s account. Financial Industry Regulatory Authority (FINRA) […]

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