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Derek Van Zandt Facing Allegations of Fraud

Derek Van Zandt (CRD #: 4147860), a broker registered with CitiGroup Global Markets, is facing an investor dispute. This disclosure appears on his BrokerCheck record, accessed on February 13, 2024. Keep reading if you have questions about his alleged conduct as a broker. 

On October 16, 2023, an investor named Derek Van Zandt in a dispute. The dispute alleged that CitiGroup Global Markets defrauded AMC investors by issuing AMC Preferred Equity shares (APE). 

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Defrauding investors violates this rule. 

Background Information 

Derek Van Zandt has passed the following exams: 

  • Series 63 Uniform Securities Agent State Law Examination 
  • Series 79TO Investment Banking Registered Representative Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 
  • Series 10 General Securities Sales Supervisor – General Module Examination 
  • Series 24 General Securities Principal Examination

He is a registered broker in 50 states, D.C., Puerto Rico, and the Virgin Islands.  

Kurta Law Can Help 

If you have worked with Derek Van Zandt and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or 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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