Giordan Marc Zaro – Financial Advisor/Broker Giordan Marc Zaro Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Giordan Marc Zaro was a previously licensed financial advisor/broker with Invicta Capital, Emerson Equity, Merrill Lynch, and AXA Advisors.
According to FINRA, Giordan Marc Zaro was suspended from the securities industry for one month and fined $5,000 in August 2021.
According to FINRA Allegations:
In October 2019, Zaro improperly removed, from Merrill Lynch’s office, files containing nonpublic personal information of Merrill Lynch customers and retained the files, without the consent of Merrill Lynch or the customers’ knowledge or consent, after the firm terminated his employment. Zaro then gave the files to a nonaffiliated third party of the firm, who returned the files in a sealed box to the firm on Zaro’s behalf three days after Zaro’s termination. As a result of this conduct, Zaro violated FINRA Rule 2010 by causing Merrill Lynch to violate SEC Regulation S-P: Privacy of Consumer Financial Information.
Goodman & Nekvasil, P.A. May Recover Investor Losses:
If you lost money on investments with Giordan Marc Zaro and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Giordan Marc Zaro’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $200 million on behalf of victimized investors. If you lost money on investments with Giordan Marc Zaro and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
Some of the information in this blog post was obtained on 8/4/2021 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.