Zachary Brodt Has Been Named in a Pending FINRA Investigation

Zachary BrodtPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 6, 2018 indicate that Arizona-based First Financial Equity Corporation broker/adviser Zachary Brodt has been named in a pending FINRA investigation. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Brodt (CRD# 5228473).

Zachary Brodt has spent eleven years in the securities industry and has been registered First Financial Equity Corporation in Scottsdale, Arizona since 2016. Previous registrations include Raymond James & Associates in Scottsdale, Arizona (2014-2016); Accelerated Capital Group in Scottsdale, Arizona (2012-2014); Meridian United Capital in Scottsdale, Arizona (2008-2012); and GF Investment Services in Scottsdale, Arizona (2007-2008). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 11, 2007; Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 25, 2006; and Series 7 (General Securities Representative Examination), which he obtained on January 26, 2007. He is a registered broker and investment adviser with six US states: Arizona, California, Georgia, Nevada, New York, and Texas.

According to his BrokerCheck report, Zachary Brodt has been named in a pending FINRA investigation.

In November 2017 FINRA announced that it had made a preliminary determination to recommend disciplinary action against him for “potential violations of FINRA Rules 2010, 1122 and 2010” in addition to Article V, Section 2(C) of FINRA by-laws. The investigation remains pending. For context, FINRA Rule 2010 is generally considered to apply to a wide variety of unethical behavior, such as forgery of client signatures, misappropriation of client monies, affixing client signatures to documents, the downloading and transmission to third parties confidential or non-public customer information, and other unauthorized disclosures of confidential information. FINRA Rule 1122 states: No member or person associated with a member shall file with FINRA information with respect to membership or registration which is incomplete or inaccurate so as to be misleading, or which could in any way tend to mislead, or fail to correct such filing after notice thereof.

If you or someone you know has complaints regarding Zachary Brodt, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on a contingency basis: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.

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