Investors potentially incurred losses because of securities broker Bruce Alan Hartzmark [CRD: 1106323, Beachwood, Ohio], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Hartzmark has been registered with Oppenheimer Co. Inc. since April 12, 1988, as a broker and since March 31, 2006, as an investment adviser. Keep reading to discover more about Hartzmark’s disclosures.
Notably, on April 26, 2024, an Oppenheimer Co. Inc. client filed FINRA Arbitration No. 24-00833 about Bruce Hartzmark. Primarily, the client alleged that Hartzmark breached his fiduciary duty, was negligent, violated state securities laws, and breached a contract. Because of this, the client allegedly sustained damages linked to private placements. As a result, the client requested $500,000 in compensation from Oppenheimer Co. Inc. or Hartzmark. It appears that this arbitration is awaiting a resolution.
Particularly, a client of Fahnestock Co. Inc. disputed Bruce Hartzmark’s sales practices by filing NASD Arbitration No. 97-03887. Allegedly, Hartzmark made unsuitable recommendations, breached his fiduciary duty, and breached a contract. It appears that Hartzmark allegedly caused the investor to sustain damages connected to stocks. Therefore, Fahnestock Co. Inc. opted to settle the matter on January 14, 1999, by compensating the client in the amount of $30,000.
Do you have concerns or questions regarding investments you made with Bruce Hartzmark? You can get in touch with Soreide Law Group at (888) 760-6552 or online and talk with a securities attorney about a possible recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the United States. Also, the firm takes cases on a contingency fee basis and advances all costs. Hartzmark and brokerage firms Hartzmark worked for deny accusations of sales practice violations.
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