Anthony Robert Anzalone Senior of New York New York a stockbroker currently employed by J.P. Morgan Securities LLC is the subject of a customer initiated investment related arbitration claim in which the customer requested $47,000.00 in damages founded on allegations that between February 18, 2017 and January 22, 2018 Anzalone disregarded the customer’s instructions regarding the purchases and sales of mutual funds. Financial Industry Regulatory Authority (FINRA) Arbitration No. 18-03136 (Sept. 5, 2018).
FINRA Public Disclosure reveals that Anzalone is referenced in three additional customer initiated investment related disputes pertaining to accusations of Anzalone’s misconduct while employed with Chase Investment Services Corp. Particularly, a customer initiated investment related complaint concerning Anzalone’s activities was settled to resolve allegations including the failure to follow the customer’s instructions of liquidating investments; unsuitability of mutual funds selected for the customer’s account; and misrepresentations regarding the customer’s investments.
On December 21, 2010, another customer initiated investment related complaint regarding Anzalone’s conduct was resolved for $17,832.89 in damages supported by accusations that unauthorized transactions had been effected in the customer’s account, and the customer’s investment instructions had been ignored.
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