Brian Zimmerman Investigation

Who is Brian Zimmerman? Brian Zimmerman Investigation

Brian Zimmerman (Brian James Zimmerman) is the owner of Zimmerman Private Wealth Management in San Diego, California. He is a registered broker and financial advisor with Independent Financial Group, Inc. Zimmerman currently has 5 disclosures on his BrokerCheck report with an array of allegations including, “Negligence, Breach of Fiduciary Duty, Violation of Fair Dealing with the Public, Failure to Supervise, Misrepresentations, Fraud, and Churning.”

Peiffer Wolf is currently investigating Brian Zimmerman of Zimmerman Private Wealth Management and Independent Financial Group.

According to FINRA’s BrokerCheck website for Public Disclosures, Brian Zimmerman is the subject of 5 disclosures.

July 2014 – Customer Disputer – Judgment for $20,000. Allegations included “NEGLIGENCE, BREACH OF FIDUCIARY DUTY, VIOLATION OF NASD/FINRA RULE 2110 FAIR DEALING WITH THE PUBLIC, VIOLATION OF NASD/FINRA RULE 2210 COMMUNICATIONS WITH THE PUBLIC, FAILURE TO SUPERVISE, MISREPRESENTATION & OMMISSIONS, FRAUD, EXCESSIVE TRADING/CHURNING IN CONNECTION WITH A BROKERAGE AGREEMENT.”
November 2013 – Customer Dispute – Settled for $10,000. Allegations included “unsuitable annuity resulted in losses.”
October 2011 – Customer Dispute. Settled for $40,000. Allegations included “excessive fees and poor return”
May 2000 – Customer Dispute. Settled for $36,000. Allegations included “COMMON LAW FRAUD/ VIOLATION OF SUITABILITY REQUIREMENTS, BREACH OF FIDUCIARY DUTY, NEGLIGENCE.”
January 2000 – Customer Dispute. Judgment for $18, 921.50. Allegations included “BREACH OF CONTRACT, COMMON LAW FRAUD, CONSPIRACY, PROMISSORY ESTOPPEL, CONVERSION, NEGLIGENCE, MALPRACTICE, BREACH OF FIDUCIARY DUTY, BREACH OF MICHIGAN SECURITIES LAW AND VIOLATION OF MICHIGAN CONSUMER’S PROTECTION LAW.”

To review Brian Zimmerman’s Brokercheck report, click here:

https://brokercheck.finra.org/individual/summary/2401501

Were You a Victim of Investment Fraud or Broker Misconduct?

If you believe you were a victim of investment fraud or broker misconduct, it is imperative to take action. Peiffer Wolf Carr Kane & Conway has represented thousands of victims, and we remain committed to fighting on behalf of investors.

Contact Peiffer Wolf Carr Kane & Conway today by filling out a Contact Form on our website or by calling 585-310-5140 to schedule a FREE Case Evaluation.

Brian Zimmerman Client?

Financial advisors (brokers) have a legal obligation and regulatory obligation to recommend only suitable investments that are appropriate for their individual clients. Their broker-dealer (employing brokerage firm) has a legal obligation and regulatory obligation to supervise the financial advisor’s sales practices and dealings with clients. To the extent that any of these duties are breached, the customer may be entitled to a recovery of his or her investment losses.

Prior to Independent Financial Group, Inc. Brian Zimmerman was a registered broker with Liberty Partners Financial Services, LLC, Andrew Garrett, Inc., and Shamrock Partners, LTD. FINRA maintains a database of investor complaints and disciplinary and employment history for registered representatives and publishes some of this information on its BrokerCheck website, www.brokercheck.finra.org.

FREE Consultation | 585-310-5140

If you believe you were a victim of investment fraud or broker misconduct, it is imperative to take action. Peiffer Wolf has represented thousands of victims, and we remain committed to fighting on behalf of investors.

Peiffer Wolf is currently investigating Brian Zimmerman’s practices, as well as the products he recommended to individual investors. Concerns about possible broker misconduct and investment fraud are serious, and we are committed to fighting on behalf of investors. Contact Us Today for a FREE Consultation. 585-310-5140

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