Published On: February 3, 2016

The Financial Industry Regulatory Authority (FINRA) recently barred Marat Zeltser, who allegedly violated a number of securities laws, including he invested money in triple leveraged ETFs over long periods of time among other claims. FINRA opened their investigation against him in January 2015, before which he was discharged from Pointe Capital Inc. for violating the firm’s advertising policy and the use of unapproved communications. Brokers have a responsibility to treat investors fairly, which includes obligations such as making only suitable investments for the client. There must be a reasonable basis for the recommendation of the product or security and due diligence on the broker’s part.

Zeltser was registered with Meyers Associates, Pointe Capital, Liberty Partners Financial Services, John Thomas Financial, Mercer Capital Ltd., Buckman, Buckman & Reid, Charles Vista LLC, Caldwell International Securities and Meyers Associates in Brookly, New York from October 2014 until April 2015. According to his FINRA online BrokerCheck report, he has one customer dispute against him and it is currently pending. Please call our securities law firm if you would like to bring a claim against Marat Zeltser for investment losses.

Disclaimer

The posting on this site are mere OPINIONS and NOT statements of fact in any way whatsoever. The information should not be relied upon and there have been no findings made against the firms or individuals referenced on this site. In addition, this Blog is made available for educational purposes only and incorporates information from the web as well as to give you general information and a general understanding of the law, not to provide specific legal advice. By using this blog site you understand that there is no attorney client relationship between you and Stoltmann Law Offices (161 N Clark Street 16th Floor Chicago, IL 60601). The Blog opinions should not be used as a substitute for competent legal advice from a licensed professional attorney in your state.

PLEASE NOTE THIS IS ADVERTISING AND IT IS NOT A NEWSPAPER ARTICLE OR POST FROM AN INDEPENDENT OR NON-BIASED, NEWS SITE, NEWS SOURCE OR NEWSPAPER.

Chicago Investment Fraud Attorneys Offering Nationwide Representation to Investors

If you have suffered financial losses because of the negligence or fraud of your financial advisor or broker through unsuitable investment recommendations, over-concentration, churning, misrepresenting risks, conversion or selling away, you have legal rights and options to pursue recovery of those losses.

Stoltman Law Securities and Investment Fraud Attorneys