Victim of Financial Fraud? Call Now
Home » Broker Blog » Harry Zwick is the Subject of a $300,000 Dispute

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 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.

Recent Results

$16.75M

Million

Recovery for ARC NYC REIT Investors
Learn More
Kurta Law recovered millions of dollars for investors who purchased the speculative and unsuitable ARC NYC REIT. The arbitration settled for substantially more than the investor losses.

Recent Results

$9.3M

Million

Investors Receive Award for More than their Losses
Learn More
Jonathan Kurta was able to recover over $9.3 million for a group of defrauded investors. The claims were based upon the brokerage firm’s failure to supervise a stockbroker who stole client funds and then prepared and disseminated fake account statements for decades.

Recent Results

$7.1M

Million

Elderly Victims Recover After a Decade of Fraud
Learn More
Jonathan Kurta represented a group of elderly women who were the victims of a financial crime perpetrated by a rogue broker. The broker utilized forged documents to steal funds from the clients’ accounts over a decade.

Recent Results

$4.2M

Million

Investor vs. Royal Alliance
Learn More
Jonathan Kurta represented an investor who alleged that Royal Alliance Associates had not fulfilled their supervisory duties. This allegedly allowed brokers to engage in conversion and RICO violations. Read a copy of the award here.

Recent Results

$1M

Million

Utah Firm Executed Unnecessary Transaction
Learn More
A FINRA panel sided with Kurta Law and found that a Utah brokerage firm executed unnecessary transactions in order to generate more commissions. Read a copy of the award here.

Recent Results

$2M

Million

Arizona Investors Options Trading Scam
Learn More
Kurta Law negotiated a $2 million settlement on behalf of Arizona investors who were defrauded in an options trading scam.

Categories