Zachary Wagner, formerly with Merrill Lynch, Barred from Securities Industry
Have you lost money with financial advisor Zachary Wagner of Gilbert, Arizona? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Zachary Scott Wagner. FINRA barred Wagner from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating Wagner regarding allegations that he misused customer funds and was involved in an undisclosed outside business.
Zachary Wagner was a financial advisor and registered representative of Merrill Lynch from December 2017 to October 2018. He was also with OneAmerica Securities in March 2019. He worked at a branch office in Gilbert, Arizona.
Brokerage firms like Merrill Lynch have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Phoenix, Arizona; Seattle, Washington; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Arizona. Attorney Aaron Israels is licensed to practice law in Arizona. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Merrill Lynch.