Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 12, 2017 indicate that Tennessee-based Raymond James & Associates broker/adviser Joseph Zenker has been the subject of several resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Zenker (CRD# 2711588).
Joseph Zenker has spent 21 years in the securities industry and has been registered with Raymond James & Associates in Nashville, Tennessee since 2009. Previous registrations include Citigroup Global Markets in Nashville, Tennessee; AXA Advisors in New York, New York; the Equitable Life Assurance Society of the United States in New York, New York; and NYLife Securities in New York, New York. He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); and Series 6 (Investment Company Products/Variable Contracts Representative Examination). He is a registered broker and investment adviser with 13 US states.
According to his BrokerCheck report, he has received three customer complaints and one pending customer complaint.
In June 2017 a customer alleged Joseph Zenker, while employed at Raymond James & Associates, breached his fiduciary duty, breached contract, violated NASD and FINRA rules, acted negligently, and violated Louisiana Blue Sky Law. The customer is seeking unspecified damages in the pending complaint.
In 2016 a party of customers alleged Joseph Zenker, while employed at Raymond James & Associates, breached contract, breached his fiduciary duty, was negligent, and acted in violation of Louisiana’s Blue Sky Law. The multi-claimant complaint has settled with one claimant for $235,000.
In 2011 a customer alleged Joseph Zenker, while employed at Citigroup Global Markets, recommended unsuitable investment products and failed to take adequate actions to mitigate losses. The complaint settled for $14,999.
In 2010 a customer alleged he, while employed at Citigroup Global Markets, recommended unsuitable products, made misrepresentations and omissions of material facts, committed fraud, and breached his fiduciary duty. The complaint resulted in an award to the customer of $12,500.
If you or someone you know has complaints regarding Joseph Zenker, call the experienced attorneys at Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on contingency: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.