Gary Ziegler Allegedly Invested Client in High-Risk Investments
Gary Ziegler (CRD #: 2492826), a broker registered with Transamerica Financial Advisors, is involved in a pending investor dispute, according to his BrokerCheck record, accessed on January 5, 2023. Read on to learn more about his alleged conduct as a broker.
On October 18, 2022, an investor alleged that Gary Ziegler invested him in a “multitude” of high-risk investments, resulting in losses. The client seeks $70,000 in damages in this pending dispute.
FINRA Rule 2111
FINRA Rule 2111 requires brokers to take into account investors’ financial goals when recommending investments. Brokers must examine the investor’s profile, which contains the following investor characteristics:
- Financial goals
- Risk tolerance
- Time horizon (i.e., how long the investment will be held)
- Investing experience
- Tax status
Investors who feel their losses were caused by unsuitable investment recommendations may be able to recover their funds through FINRA arbitration.
Gary Ziegler 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
Gary Ziegler is a registered broker in Florida, Illinois, and Wisconsin. He is also a registered investment adviser in Wisconsin.
He has also worked for the following firms:
- Investment Advisors International (CRD#:139233)
- World Group Securities (CRD#:114473)
- WMA Securities (CRD#:32625)
Kurta Law Can Help
If you worked with Gary Ziegler and you have concerns about your investments, please contact us today at 877-600-0098 or firstname.lastname@example.org 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.