Anthony Dennis Massara of Gilbert, Arizona, a stockbroker registered with Ameriprise Financial Services LLC has been terminated based upon allegations that Massara violated company policy relating to customer signatures.
This is not the first time that Massara has been terminated by a securities broker dealer concerning his conduct in the securities industry. Financial Industry Regulatory Authority (FINRA) Public Disclosure shows that Massara was terminated by Merrill Lynch Pierce Fenner Smith Inc. based upon allegations that Massara violated firm standards by being named as a beneficiary of a customer’s account.
FINRA Public Disclosure shows that Massara has been fined $5,000.00 by Oregon Division of Financial Regulation based upon allegations that Massara failed to make regulatory disclosures. Case No. S-15-0078 (Aug. 14, 2015).
Anthony Massara was associated with Ameriprise Financial Services LLC in Gilbert, AZ, as a stockbroker from April 16, 2021 to January 11, 2022.