Tag Archives: Anthony J. Mazzo

UBS Financial Services Named In Customer Securities Arbitration

December 07, 2016  |   Posted by :   |   Investment and Regulatory News, Structured Products   |   0 Comments

Anthony J. Mazzo, of Boca Raton, Florida, a stockbroker formerly associated with UBS Financial Services, Inc., has been subject to a customer initiated investment related arbitration claim on August 5, 2016, which was settled for $138,855.92 in damages based upon allegations that Mazzo guaranteed investment performance to customers, and omitted facts to the customer concerning […]

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