Mark Zorn Allegedly Recommended Unsuitable Investments

Mark Zorn (CRD #: 2056837), a broker formerly registered with Cetera Advisor Networks, allegedly gave unsuitable investment recommendations, according to his BrokerCheck record, accessed on September 6, 2025. If you have questions about his alleged conduct as a broker, keep reading.

Investor Dispute

Pending disputes filed on August 21 and June 17, 2025, alleged that Mark Zorn made unsuitable investment recommendations. One of these disputes seeks $450,000 in damages.

In a dispute filed on April 28, 2023, an investor alleged that Mark Zorn made unsuitable investment recommendations. This dispute was settled for $170,000.

FINRA Rule 2111

FINRA Rule 2111 requires brokers to tailor their investment recommendations to suit investors’ profiles, which describe their tax status, age, and other characteristics.

• Investments can be unsuitable because they are high-risk and likely to lose money.
• They may also be unsuitable due to a lack of liquidity. Illiquid investments are harder to sell on short notice, and investors may have to pay high fees to cash out.
• Trading activity can be quantitatively unsuitable, which means the broker executed an excessive number of trades.
• These requirements also apply to a broker’s overall investment strategy. For example, an investment strategy might be unsuitable if the securities are overconcentrated in a particular stock or sector.

Investors who rely on brokers for recommendations may be able to recover their losses by seeking out FINRA arbitration.

Background Information

Mark Zorn 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 previously worked for the following firms:

• Cetera Advisor Networks (CRD#:13572) 
• Kestra Investment Services (CRD#:42046)
• SWS Financial Services (CRD#:17587)
• Merrill Lynch Pierce Fenner & Smith (CRD#:7691)
• Investors Brokerage of Texas (CRD#:13037)
• Lincoln Financial Advisors (CRD#:3978)
• A. G. Edwards & Sons (CRD#:4)
• Paulson Investment Company (CRD#:5670)

Kurta Law Can Help

If you worked with Mark Zorn 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.