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Michael Haupt: $696K Complaint Against TradeZero Advisor

A pending investor complaint against Brooklyn broker Michael Haupt (CRD# 2865821) alleges nearly $700,000 in damages. Financial Industry Regulatory Authority records show that he is a representative of TradeZero, having previously been registered with firms including Arive Capital Markets and Vision Brokerage Services. 

Mr. Haupt’s BrokerCheck report discloses one pending investor complaint. Filed in May 2022, it alleges breach of contract, misrepresentation, supervisory failures, negligent hiring, and violation of state and federal securities laws. The complaint alleges further that “unprovoked harassing emails with the intent to intimidate against filing the arbitration” were sent to the claimant, as well as “condescending and unprofessional emails… which contained lies.” The pending complaint alleges damages of $696,320.

According to the Financial Industry Regulatory Authority, Michael Haupt holds 24 years of securities industry experience. Based in Brooklyn, New York, he has been a broker with TradeZero since 2018. His past registrations include Arive Capital Markets (Bay Ridge, New York; 2018-2019), Vision Brokerage Services (Stamford, Connecticut; 2017-2018), Rothshild Lieberman (New York, New York; 2015-2016), Divine Capital Markets (New York, New York; 2013-2015), Direct Access Partners (New York, New York; 2013), the Griswold Company (New York, New York; 2000-2012), CIBC World Markets (New York, New York; 1997-2000), and Spear Leeds & Kellogg (New York, New York; 1997). His credentials include the passage of eight securities industry qualifying exams: the General Securities Principal Examination, or Series 24; the Municipal Securities Principal Examination, or Series 53; the Registered Options Principal Examination, or Series 4; the General Securities Representative Examination, or Series 7; the NYSE Trading Assistant Examination, or Series 25; the Limited Representative-Equity Trader Exam, or Series 55; and the Uniform Securities Agent State Law Examination, or Series 63. He holds 53 state licenses. (Information current as of June 13, 2022.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.

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