Scott Alfredo Miozzi of New Windsor New York a stockbroker formerly registered with NYLife Securities LLC has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on accusations that he failed to provide a response to FINRA’s request for his information. Case No. 2018058244001 (Aug. 23, 2018).
FINRA Public Disclosure confirms that FINRA provided Miozzi with a July 30, 2018 Notice of Suspension letter which stated that he would be suspended by FINRA in all capacities starting on August 23, 2018. Miozzi has apparently been warned by FINRA that his continued non-compliance with FINRA’s requests could cause him to be automatically barred by FINRA in all capacities on November 2, 2018.
Additionally, Miozzi is referenced in a customer initiated investment related written complaint which settled for $24,433.84 in damages on May 9, 2018 supported by allegations that Miozzi misrepresented the terms and the liquidity of a fixed annuity that the customer purchased on April 26, 2017 with the proceeds from a variable annuity.
Miozzi’s registration with NYLife Securities LLC has been terminated as of March 20, 2018.
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