Former broker David Zuber (also known as David Brian Zuber and David Brown Zuber) has been barred by FINRA in connection with his alleged involvement in potential undisclosed outside business activities and private securities transactions, according to FINRA’s Letter of Acceptance, Waiver and Consent (AWC), under review by attorney Alan Rosca.
Investment loss attorney Alan Rosca and his colleagues, of the Rosca Scarlato LLC law firm, are investigating conduct related to the offering of private securities investments not approved by the firm, among others. Investors who are concerned about their investments with former broker David Zuber may reach out to attorney Alan Rosca for a free, no-obligation consultation and discussion of potential options, or to provide any useful information. Interested David Zuber investors may call 888-998-0530, send an email to arosca@rscounsel.law, or complete the contact form on this webpage.
Concerned about investments with
Zuber Barred by FINRA
In February 2021, FINRA sent David Zuber a notice to appear for an on-the-record interview, in connection with an investigation into potential undisclosed outside business activities and private securities transactions. Zuber allegedly violated FINRA rules by refusing to appear for FINRA’s interview. Without admitting or denying the allegations, Zuber signed the AWC, agreeing to being barred.
David Brian Zuber Was a Registered Broker for 17 Years
According to Zuber’s FINRA Brokercheck page, Zuber has been registered with FINRA since 2002. He was employed with JK Investment Group, Inc., in Independence, Ohio, between March 2011 and August 2016. In February 2011, he was employed with Securities America, Inc., also in Independence, Ohio. In February 2016, he joined Arbor Point Advisors in the same city.
Zuber was discharged from Securities America in April 2020 on allegations that he was involved in the offer of private securities investments not approved by the firm, according to a disclosure reported on his FINRA Brokercheck page.
Finally, it is important to note that, as of the date of this article, there has not been a finding of liability as to the complaints or allegations mentioned in this article, unless otherwise indicated. Any reader should also read the original sources hyperlinked in this blog for accuracy, including any BrokerCheck report and/or record of any disciplinary or regulatory action. Those sources are incorporated by reference into the text of this blog, and are the governing materials in case of any inconsistencies or typos in this blog.
Concerned about investments with
Concerned About Your Investment with Broker David Zuber?
The Rosca Scarlato LLC law firm represents investors who lose money as a result of investment-related fraud or misconduct and is currently investigating conduct related to broker David Zuber’s allegations of alleged involvement in offering private securities investments not approved by his firm, among others.
The firm takes most cases of this type on a contingency fee basis and advances the case costs, and only gets paid for its fees and costs out of money recovered for clients. Attorney Alan Rosca, a securities lawyer and adjunct professor of securities regulation, has represented thousands of victimized investors across the country and around the world in cases ranging from arbitrations to class actions.
Concerned David Zuber investors may contact attorney Alan Rosca, or his colleagues for a free no-obligation case evaluation and discussion of potential options, at 888-998-0530, via email at arosca@rscounsel.law, or through the contact form on this webpage.