Zachary T. Bader—Excessive Trading

Ponzi scheme attorneysZachary T. Bader Allegedly Engaged in Excessive Trading in Three Customer Accounts with a Reckless Disregard for Customer Interests

Zachary T. Bader, from February 2012 until July 2013, allegedly engaged in excessive trading in three customer accounts with a reckless disregard for the interests of those customers and for making unsuitable recommendations to 21 customers, according to a recent Letter Acceptance, Waiver and Consent (AWC) currently under review by attorneys Joe Peiffer and Alan Rosca.

Excessive trading and churning occurs when a registered representative exercises control over a customer’s account and the level of activity in that account is inconsistent with the customer’s investment objectives, financial situation, and needs.

The Peiffer Wolf securities lawyers are currently investigating Zachary T. Bader’s alleged excessive trading.

Zachary T. Bader Barred by FINRA

From March 2012 through January 2013, Zachary T. Bader made unsuitable recommendations of a complex Exchange Traded Note (ETN) to 21 customers, according to a recent Letter Acceptance, Waiver and Consent (AWC) currently under review by attorneys Joe Peiffer and Alan Rosca.

As a result, Bader has been barred by FINRA from associating with any member FINRA Member Firm in any capacity, the AWC reports.

One should also note that, according to the AWC, Zachary T. Bader neither admitted nor denied the FINRA findings.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of excessive trading and customer churning. They are currently investigating Zachary T. Bader’s excessive trading and customer churning. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of Zachary T. Bader’s excessive trading and customer churning may contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca or Joe Peiffer, for a free no-obligation evaluation of their recovery options, at 888-998-0520.

Alan Rosca (1159 Posts)

Alan is a securities lawyer. He also teaches Securities Regulation at the Cleveland-Marshall College of Law. He focuses his legal practice on complex commercial and financial litigation and arbitration, particularly in the areas of securities and investment fraud. His office is in Cleveland, Ohio.


In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent blogs regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases.