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Equitable Advisors Fires Mark Zagotti

Mark Zagotti (CRD #: 2534369), a broker formerly registered with Equitable Advisors, allegedly violated firm policy, according to his BrokerCheck record, accessed on October 29, 2022. Keep reading if you have questions about Mark Zagotti’s conduct as a broker.

Termination from Equitable Advisors

On September 8, 2022, Mark Zagotti was fired from Equitable Advisors after allegedly violating the firm’s policies and procedures regarding the use of social media.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of firm policies often violate this rule. 

Background Information

Mark Zagotti has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 55 – Limited Representative-Equity Trader Exam
  • Series 7 – General Securities Representative Examination
  • Series 4 – Registered Options Principal Examination
  • Series 53 – Municipal Securities Principal Examination
  • Series 24 – General Securities Principal Examination

In the past, he worked for the following firms:

  • Equitable Advisors (CRD#:6627)
  • MML Investors Services (CRD#:10409)
  • Nebraska Hudson Company (CRD#:27501)
  • J.P. Turner & Company (CRD#:43177)
  • Continental Broker-Dealer Corporation (CRD#:14048)
  • Sunpoint Securities (CRD#:25442)
  • Marlowe & Company (CRD#:35733)

Kurta Law Can Help

If you worked with Mark Zagotti 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. 

 

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