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Daniel Rozzi Has Had Multiple Tax Liens Filed Against Him

Daniel Rozzi

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 25, 2018 indicate that former New York-based Ashton & Stewart broker/adviser Daniel Rozzi has received a customer dispute and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Rozzi (CRD# 5319858).

Daniel Rozzi has spent nine years in the securities industry and was most recently registered with Ashton Stewart & Company in New York, New York (2016-2018). Previous registrations include MetLife Investors Distribution Company in Charlotte, North Carolina (2015); Oppenheimer & Company in New York, New York (2014-2015); Morgan Stanley in New York, New York (2009-2014); and Morgan Stanley & Company in New York, New York (2007-2009). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on July 13, 2007; Series 31 (Futures Managed Funds Examination), which he obtained on August 3, 2007; and Series 7 (General Securities Representative Examination), which he obtained on June 8, 2007. He is currently not registered with any state, firm or self-regulatory organization.

According to his BrokerCheck report, he has received two customer complaints, was discharged from a former employer in connection to alleged rule violations, and has received four unsatisfied judgments or liens.

In 2017 Brady Landscaping filed a civil judgment or lien totaling $2,832 against him. The judgment or lien remains outstanding.

In 2017 the Internal Revenue Service filed a tax lien totaling $16,602 against him. The lien remains outstanding.

In 2017 the Internal Revenue Service filed a tax lien totaling $21,285 against him. The lien remains outstanding.

In 2016 Enerbank USA filed a civil judgment or lien totaling $9,709 against him. The judgment or lien remains outstanding.

In 2014 he was terminated from his position at Morgan Stanley Smith Barney in connection to allegations “related to disclosure and accuracy of performance summaries,” as well as sharing trading recaps with a customer.

In 2013 a customer alleged Daniel Rozzi, while employed at Morgan Stanley, provided her with erroneous reports summarizing trading activity and did not provide agreed-upon commission discounts. The complaint settled in 2014 for $475,000.

In 2008 a customer alleged Daniel Rozzi, while employed at Morgan Stanley & Company, did not perform a trade as instructed. The complaint settled for $75,000.

If you or someone you know has complaints regarding investments made with Daniel Rozzi, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we 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.