Public records provided by the Financial Industry Regulatory Authority (FINRA) on February 17, 2017 indicate that Florida-based BB&T Securities broker/adviser Anthony Mazzo has been the subject of several customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Mazzo (CRD# 2385020).
Anthony Mazzo has spent 23 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 Serviecs 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 has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 9 (General Securities Sales Supervisor – Options Module Examination); and Series 7 (General Securities Representative Examination)
According to his BrokerCheck report, he has received three customer complaints.
In 2016 a group of elderly customers alleged Anthony Mazzo, while employed at BB&T Securities, “not provide him with accurate information on his choices regarding a stock in a tender offer in September 2016, which resulted in a loss of over $5,000 when he received a cash tender, instead of stock.” The firm settled the complaint with a correction of the tender offer choice to stock.
In 2016 a group of elderly customers alleged Anthony Mazzo, while employed at UBS Financial Services, failed to disclose the risky nature of investments that ultimately suffered losses. The firm settled the complaint for more than $138,800.
In 2016 a customer alleged Anthony Mazzo, while employed at UBS Financial Services, failed to supervise, misrepresented material facts, and recommended an unsuitable purchase of shares in a unit investment trust. The complaint settled for $10,000.
If you or someone you know has complaints regarding Anthony Mazzo, call the experienced attorneys at Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on contingency: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.