ANDREW LAWRENCE ZOROVICH is currently employed as a Broker and/or Investment Adviser at PROEQUITIES, INC. located at 801 W BAY DRIVE, SUITE 100, LARGO, FL, 33770.
ANDREW LAWRENCE ZOROVICH has worked at PROEQUITIES, INC. since October 19, 2009
Disclosure History
ANDREW LAWRENCE ZOROVICH has 4 Disclosure Event(s).
Date: August 11, 2014 Category: Customer Dispute Allegations: PER ROYAL ALLIANCE'S U5 FILING DATED 10/03/14, PLAINTIFFS ALLEGE THAT A REPLACEMENT OF A LIFE POLICY WAS UNSUITABLE. Damage Amount Requested: $105,000.00 Broker Comment: THE FIRM WAS MADE AWARE OF THIS CASE VIA FINRA'S DISCLOSURE LETTER DETAIL ALERT ON 10/3/14. NO OTHER INFORMATION FROM THE CLIENT NOR REP'S PRIOR FIRM HAVE BEEN RECEIVED FOR DOCUMENTATION PURPOSES AS OF TODAY'S DATE. INFORMATION LISTED IN THIS FILING IS THEREFORE BASED ON THE PRIOR FIRM'S U-5 AMENDMENT FILING DATED 10/03/2014.
Date: March 11, 2014 Category: Customer Dispute Allegations: ATTORNEY CLAIMING TO REPRESENT THE CLIENT ALLEGES THAT PRODUCTS SOLD TO THE CLIENT, WHILE THE REPRESENTATIVE WAS AT QA3, IN 2008 ARE UNSUITABLE AND THAT AN ANNUITY SWITCH PROCESSED IN 2012 FOR THE CLIENT, WHILE THE REPRESENTATIVE HAS BEEN WITH PROEQUITIES, WAS ALSO UNSUITABLE. COMPLAINT ALSO ALLEGES BREACH OF FIDUCIARY DUTY, BREACH OF CONTRACT AND VIOLATION OF STATE SECURITIES STATUTES. Damage Amount Requested: $103,000.00 Settlement Amount: $25,000.00 Broker Comment: IN AN EFFORT TO RESOLVE CONCERNS THE CUSTOMER HAD REGARDING HER INVESTMENT, THE FIRM AND THE CUSTOMER AGREED TO A SETTLEMENT IN THE AMOUNT OF $25,000.00. THE FIRM NEITHER ADMITTED NOR DENIED THE CLAIMS SET FORTH IN THE CUSTOMERS ALLEGATIONS.
Date: June 16, 2008 Category: Customer Dispute Allegations: CLIENTS ALLEGING THAT UNSUITABLE INVESTMENT RECOMMENDATIONS WERE MADE BETWEEN 2002 AND 2006. Damage Amount Requested: $5,000.00 Settlement Amount: $14,000.00
Date: July 13, 2004 Category: Customer Dispute Allegations: CLIENT CLAIMS THAT THE ANNUITY DID NOT HAVE THE BENEFIT OF THE GUARANTEE RIDER AS EXPLAINED BY THE REPRESENTATIVE. Damage Amount Requested: $14,000.00
More Information
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