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Amy Zwaan Allegedly Failed to Comply with Arbitration Award

Amy Zwaan (CRD #: 4857906), a previously registered broker with LPL Financial, is the subject of a FINRA suspension. This disclosure appears on her BrokerCheck record, accessed on June 28, 2024. Keep reading for more information. 

Regulatory Action

On May 1, 2024, FINRA suspended Amy Zwaan following allegations that she failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance. The suspension lasted from May 1, 2024, through June 18, 2024. 

You can read the Arbitration Details here. 

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Failing to comply with an arbitration award may violate this rule. 

Background Information 

Amy Zwaan has passed the following exams: 

  • Series 66 Uniform Combined State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 

During his 19 years of experience, she has registered with five firms: 

  • LPL Financial (CRD #: 6413) 
  • Securities America (CRD #: 10205) 
  • Raymond James Financial Services (CRD #: 6694)
  • Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691) 
  • UBS Financial Services (CRD #: 8174) 

Kurta Law Can Help 

If you have worked with Amy Zwaan and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.

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