James Petrizzo, of Boulder City, Nevada, a stockbroker registered with CUNA Brokerage Services Inc, has been denied registration by Wisconsin Office of the Commissioner of Insurance. Decision No. 21-C044204 (October 7, 2021).
Financial Industry Regulatory Authority (FINRA) Public Disclosure shows that Petrizzo has also been fined $35,000.00 by Nevada Securities Division because Petrizzo submitted a securities application without the consent of a customer when he was associated with Cuna Brokerage Services Inc. Order No. INV20-022 (July 23, 2020).
Public Disclosure shows that Petrizzo was also referenced in a customer initiated investment related complaint that was settled on March 6, 2020, for $23,500.00 in damages based upon allegations that Petrizzo made omissions of material fact in connection with the recommendation and sale of CDs.
Petrizzo was associated with CUNA Brokerage Services Inc as a stockbroker and investment advisor representative between August 10, 2010, and December 3, 2021. He has been associated with Independent Financial Group as a stockbroker since March 25, 2022, and as an investment advisor representative since May 12, 2022.
