Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on March 8, 2017 indicate that West Virginia-based Summit Brokerage Services broker/adviser Philip Mason has been the subject of a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Mason (CRD# 3109571).
Philip Mason has spent eighteen years in the securities industry and has been registered with Summit Brokerage Services in Fairmont, West Virginia since January 2017. Previous registrations include Park Avenue Securities in Morgantown, New York; AXA Advisors in Fairmont, West Virginia; and the Equitable Life Assurance Society of America 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 7 (General Securities Representative Examination); and Series 6 (Investment Company Products/Variable Contracts Representative Examination). He is a registered broker and investment adviser with three US states: Ohio, Pennsylvania and West Virginia.
According to his BrokerCheck report, he has received one customer complaint and two complaints that were closed or denied.
In 2013 a customer alleged Philip Mason, while employed at AXA Advisors, recommended unsuitable investments and failed to disclose the terms of variable annuities. The complaint settled in 2014 for $17,000.
In 2008 a customer alleged Philip Mason, while employed at AXA Advisors, did not make her aware her money was being placed in an annuity with an insurance company. The customer sought unspecified damages in the complaint, which was closed with no action taken.
In 2003 a party of customers alleged Philip Mason, while employed at AXA Advisors, misled them during a mutual funds sale. The customers sought unspecified damages in the complaint, which was denied.
If you or someone you know has complaints regarding Philip Mason, call 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.