Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 11, 2016 indicate that Florida-based BB&T Securities broker/adviser Anthony Mazzo has been named in a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Mazzo (CRD# 2385020).
Anthony Mazzo has spent 22 years in the securities industry and has been registered with BB&T Securities in Palm Beach, Florida since April 2016. Previous registrations include UBS Financial Services in Boca Raton, Florida; Oppenheimer & Company in Boca Raton, Florida; Wachovia Securities in Del Ray Beach, Florida; Raymond James & Associates in St. Petersburg, Florida; Dean Witter Reynolds in Purchase, New York; Gruntal & Company in New York, New York; and GKN Securities in New York, New York. He is a registered broker and investment adviser with 18 US states and territories.
According to his BrokerCheck report, Anthony Mazzo has received one pending customer complaint and resigned from Gruntal & Company while under internal review.
In March 2016, a customer alleged Anthony Mazzo, while employed at UBS Financial Services, misrepresented material facts, failed to supervise, and recommended an unsuitable investment in shares of a unit investment trust. The customer is seeking $50,000 in damages in the pending complaint.
In May 2015, a customer alleged Anthony Mazzo, while employed at Oppenheimer & Company, executed an unauthorized purchase. The customer sought $22,000 in damages in the complaint, which was denied.
In 2008, a customer alleged Anthony Mazzo, while employed at Oppenheimer & Company, made unsuitable investments and executed unauthorized trades. The customer sought $5,000 in damages in the complaint, which was denied.
If you or someone you know has a complaint regarding Anthony Mazzo call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup losses. Fitapelli Kurta accepts every case on contingency: we only get paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.