David Zauner Fined by State of New York

David Zauner (CRD #: 2027403), a broker registered with Pruco Securities, was recently fined by the State of New York, according to his BrokerCheck record, accessed on March 28, 2023. Investors may have also worked with him through Prudential Financial Planning Services. Keep reading if you have questions about his alleged conduct as a broker.

New York Regulatory Action

On January 31, 2023, the New York State Department of Financial Services alleged that David Zauner failed to report a criminal prosecution. The Department entered a Stipulation and Consent order wherein David Zauner consented to a fine of $2,000.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Criminal Charges

On March 28, 2018, David Zauner was charged with a criminal misdemeanor. Several other charges were dismissed as part of the final disposition of this case.

Background Information

David Zauner has passed the following exams:

• Series 65 – Uniform Investment Adviser Law Examination
• Series 63 – Uniform Securities Agent State Law Examination
• SIE – Securities Industry Essentials Examination
• Series 6 – Investment Company Products/Variable Contracts Representative Examination
• Series 26 – Investment Company Products/Variable Contracts Principal Examination

David Zauner is a registered broker and a registered investment adviser in New York.

He previously worked for Financial Network Investment Corporation (CRD#:13572) and First Investors Corporation (CRD#:305).

Kurta Law Can Help

If you worked with David Zauner and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and 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.