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Bruce Hartzmark is the Subject of a Half-Million Dollar Dispute

Bruce Hartzmark (CRD #: 1106323), a broker registered with Oppenheimer & Co., is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on June 14, 2024. Keep reading if you have questions concerning his alleged conduct. 

Investor Allegations 

On April 26, 2024, investors alleged that they suffered losses after working with Bruce Hartzmark. They allegedly invested in a private investment and allege claims for negligence, breach of fiduciary duty, breach of contract, and violations of state securities laws. The investor is seeking $500,000. 

Negligence

Many types of broker misconduct may qualify as negligence. Typical examples include unsuitable investment recommendations, misrepresentations or omissions of material fact, and failure to follow instructions.

Investors who believe their losses are the result of broker negligence may be able to recover their funds through FINRA arbitration.

Fiduciary Duties

Brokers are often dually registered as Registered Investment Advisers (RIAs) with the SEC. RIAs are fiduciaries, and fiduciaries are required to act in their clients’ best interests. Brokers are not fiduciaries but must abide by FINRA Rule 2111 and Regulation Best Interest. (To learn more about the differences between brokers and Registered Investment Advisers, click here.) 

Background Information

Bruce Hartzmark has passed the following exams: 

  • Series 65 Uniform Investment Adviser Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination 
  • Series 99TO Operations Professional Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination

He is a registered broker in 22 states and is a registered investment adviser in New Jersey, Ohio, and Texas. 

Kurta Law Can Help 

If you have worked with Bruce Hartzmark 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.