Alon Zak

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/31/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ALON ZAK (CRD No. 5734529), Respondent. Disciplinary Proceeding No. 2020065349803 Hearing Officer–BEK DEFAULT DECISION January 31, 2022 Respondent is barred from associating with any FINRA member firm in any capacity for falsifying and forging life insurance policy applications and for failing to provide sworn testimony to FINRA staff. In light of the bars, no additional sanctions are imposed
08/19/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. Alon Zak CRD No. 5734529, Respondent. Disciplinary Proceeding No. 2020065349803 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From April 2019 through August 2019, while registered with FINRA member firm Pruco Securities, LLC (Pruco Securities), Respondent Alon Zak created three fictitious life
Reference 2020065349803data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5734529

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.