|
|
|
|
A
|
B
|
C
|
D
|
E
|
F
|
G
|
H
|
I
|
J
|
K
|
L
|
M
|
N
|
O
|
P
|
Q
|
R
|
S
|
T
|
U
|
V
|
W
|
X
|
Y
|
Z
|
Name
|
Residence
|
What
|
Why
|
Date
|
|
Zamindar, Saleem
|
San Francisco, California
|
Barred
|
Pursuant to NASD Rule 9552(h)
|
May 2006
|
|
Zaragosa, Joseph Andrew (Jr.)
|
Chicago, Illinois
|
Barred
|
The sanction was based on findings that Zaragoza effected discretionary transactions in a public customer's account without the customer's prior written authorization and his firm's prior written acceptance of the account as discretionary. The findings stated that Zaragoza recommended and effected excessive trading in the customer's account despite the customer's investment objectives and financial situation. The findings also stated that Zaragoza failed to submit email correspondence to his firm for review and approval before sending it to the customer. The findings also included that Zaragoza engaged in outside business activity for compensation and failed to give his member firm prompt written notice. This decision has been appealed to the NAC and the sanction is not in effect pending consideration of the appeal.
|
October 2007
|
|
Zdzieblowski, Paul
|
Sterling Heights, Michigan
|
1-Year Suspension
|
He willfully failed to disclose a material fact on his Form U4.
|
June 2005
|
|
Zeglowitsch, Joseph Edward III
|
Pittsburgh, Pennsylvania
|
Barred
|
The findings stated that Zeglowitsch willfully failed to disclose material information on his Form U4.
|
July 2006
|
|
Ziblim, Ibrahim
|
Newark, NJ
|
Barred
|
Ziblim created an ATM card for a banking customer's account without the customer's authorization or consent, and subsequently used the card to withdraw $1,000 from the account, converting the proceeds for his own use and benefit.
|
April 2008
|
|
Ziegler, RichardPaul
|
Unknown
|
Censure and bar until he complies.
|
Violated Exchange Rule 477 by failing to comply with requests for a written statement and for testimony.
|
June 6, 2005
|
|
Zimmerman, Scott Martin
|
Dunwoody, Georgia
|
Barred
|
He knowingly or recklessly prepared and disseminated misleading offering materials, monthly statements and newsletters to investors in that he made exaggerated, unwarranted and/or misleading statements concerning, among other things, the performance of a private limited partnership compared to the S&P 500, the accuracy of market predictions, the purchasing of insiders compared to sales, the effectiveness and understanding of trading strategies, and indicators of market peaks.
|
February 2006
|
|
Zins, Robert Louis
|
Cincinnatti, Ohio
|
Barred
|
Zins converted $3,750 from the bank account of public customers by ordering checks from their account without their knowledge or consent, forged the customers' signatures on checks, deposited the checks into a bank account under his control, withdrew cash from the account and deposited the cash into his personal bank account for his personal benefit and not for the benefit of the customers. The findings stated that Zins forged the endorsement of another individual on the back of the checks and deposited them into a bank account opened in the individual's name without his knowledge or consent.
|
December 2006
|
|
Zipkin, David Phillip
|
Plymouth, Minnesota
|
Barred
|
Zipkin failed to amend his Form U4 to disclose material information. The findings stated that Zipkin failed to appear for an NASD on-the-record interview.
|
December 2006
|
|
Zirnheld, Brian Anthony
|
Wheatfield, NY
|
1-Year Suspension
|
Zirnheld recommended the purchase of a variable annuityto public customers without having reasonable grounds for believing that the recommendation was suitable based upon the customers' investment objectives, financial situation and needs. The findings stated that Zirnheld knowingly submitteda false written statement to his member firm claiming that at the time he made the unsuitable recommendation, he was not aware that both customers suffered from dementia.
|
March 2008
|
|
Ziskind, Vladimir
|
Brooklyn, New York
|
Barred
|
Pursuant to NASD Rule 9552(h)
|
April 2006
|
|
Zoval, Lori Elizabeth
|
Stateline, NV
|
Barred
|
Pursuant to NASD Rule 9552(h)
|
November 2007
|
|
About Us
|
News
|
Alerts
|
Articles
|
Caveat Emptor
|
SNSFE News
|
Contact
|
Search
Register
|
Free Opinion
Sponsored by James J. Eccleston, an attorney representing stockbrokers, financial planners and
investors nationwide in arbitration, litigation and regulatory matters, and a shareholder with the law firm
Shaheen, Novoselsky, Staat, Filipowski & Eccleston
P.C.(www.snsfe-law.com). This Web site contains material
of general interest. It is neither intended to, nor constitutes, either legal advice or investment advice.
Always consult an attorney and/or investment advisor when building and protecting your wealth.
All content Copyright © 2008 Advocate Capital Management, Inc. except where noted. All rights reserved.
20 North Wacker Drive, Suite 2900, Chicago, Illinois 60606
Telephone: 312-621-4400 | Fax: 312-621-0268
|
|
|
|
|
|
