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Broker Complaints: Lazard Asset Management Securities (CRD# 129119)

The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding New York-based brokerage firm Lazard Asset Management Securities (CRD# 129119).

Formed in Delaware in 2003, Lazard Asset Management Securities is headquartered in New York, New York and registered with 52 US states and territories. Mark Richard Anderson is Chief Compliance Officer; Charles Laurence Carroll is Chief Executive Officer; Christine Marie Fairclough is Senior Registered Options Principal/Compliance Registered Options Principal (SROP/CROP); Gerald Bruce Mazzari is Chief Operating Officer and Chief Financial Officer; Nathan Abraham Paul is Chief Legal Officer.

According to the firm’s BrokerCheck report, Lazard Asset Management Securities is currently not the subject of any customer complaints or regulatory sanctions. However, a number of its officers and registered representatives are the subject of outstanding judgments or liens.

Christine Fairclough (CRD# 2569309), a broker who has been registered with Lazard Asset Management Securities since 2004 and is currently the firm’s SROP/CROP, is the subject of two judgments or liens: one civil judgment/lien of $558, filed by Hackensack Hospital in 2012, and one civil judgment/lien of $1,081, also filed by Hackensack Hospital in 2012. Both remain outstanding.

John Burge (CRD# 2411605), a broker who has been registered with Lazard Asset Management Securities since 2015, is the subject of one judgment or lien: a tax lien of $150,481.45 filed by the Internal Revenue Service in 2013. It remains outstanding.

If you have lost money investing with Lazard Asset Management Securities, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be able to collect your losses. All cases are taken on a contingency basis, which means Fitapelli Kurta only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.