John Mazza: Investors Allege Unsuitable Recommendations

John MazzaPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 25, 2018 indicate that former Michigan-based Independent Financial Group broker/adviser John Mazza has been involved in customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Mazza (CRD# 4299467).

John Mazza has spent 17 years in the securities industry and was most recently registered with Independent Financial Group in Shelby Township, Michigan (2010-2018). Previous registrations include AFA Financial Group in Calabasas, California (2009-2010); UBS Financial Services in Scottsdale, Arizona (2005-2009); Citigroup Global Markets in New York, New York (2003-2005); and Merrill Lynch in New York, New York (2000-2003). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on January 10, 2001, and Series 7 (General Securities Representative Examination), which he obtained on December 20, 2000. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received two customer complaints and two denied customer complaints.

In April 2018 a customer alleged John Mazza, while employed at Independent Financial Group, mismanaged the account, resulting in losses. The customer sought unspecified damages in the complaint, which was denied.

In 2009 a customer alleged John Mazza, while employed at Citigroup Global Markets, made unsuitable purchases. The complaint settled in 2010 for $4,750.

In 2009 a customer alleged he, while employed at UBS Financial Services, recommended an unsuitable investment. The customer sought $50,000 in damages in the complaint, which was denied.

In 2003 a customer alleged John Mazza, while employed at Merrill Lynch, recommended unsuitable investments. The complaint settled in 2004 for $45,000.

If you or someone you know has complaints regarding John Mazza, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on a contingency basis: 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.