Zucker, Brian - Somerset, NJ 


    Under the automatic disciplinary provisions of the Institute’s bylaws, Mr. Zucker’s AICPA membership was suspended for one year, effective June 14, 2013, in connection with the Securities and Exchange Commission’s (SEC) disciplinary action. Specifically, the SEC denied Mr. Zucker the privilege of appearing or practicing before the Commission as an accountant with the right to apply for reinstatement after one year of the effective date of the SEC’s Order. This decision was based on the SEC’s findings that Mr. Zucker performed Financial and Operations Principal (“FINOP”) services for a broker-dealer client, while his firm was serving as the Broker-Dealer’s auditor; and for arranging for his firm to pay a contractor who was serving as the Broker-Dealers’ FINOP (the “Designated FINOP”), and for directing a staff accountant to provide FINOP services to the Broker-Dealer. As a consequence of this conduct, Mr. Zucker and his firm engaged in improper professional conduct, violated the auditor independence rules, and cause the Broker-Dealer’s failure to file an annual report audited by an independent accountant.



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