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Harry Zwick is the Subject of a $300,000 Dispute

Harry Zwick (CRD #: 5847512), a broker registered with Merill Lynch, Pierce, Fenner, & Smith, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on December 6, 2023. Keep reading if you have any questions regarding his alleged conduct. 

On September 16, 2023, an investor alleged that Harry Zwick misrepresented certain investments. The investor sought $300,000 but the dispute was denied by the firm. Investors should know, however, that firms can deny disputes without any external review. Our securities attorneys can still recover losses following a denial via FINRA arbitration

FINRA Rule 2020 – Misrepresentation

FINRA Rule 2020 prohibits the misrepresentation of investments and omission of material facts. Material facts include information about an investment’s potential returns, as well as charges, expenses, and fees. 

Background Information 

Harry Zwick 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 7 General Securities Representative Examination 

He has registered as a broker in 45 states and D.C. He is also a registered investment adviser in New York and Texas. 

Harry Zwick has registered with the following firms: 

  • Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691) 
  • JP Morgan Securities (CRD #: 79) 
  • Chase Investment Services Corp (CRD #: 25574) 

Kurta Law Can Help 

If you have worked with Harry Zwick and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or 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.