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 risks of structured notes investments.
FINRA Public Disclosure reveals that Mazzo has been subject to five additional customer initiated arbitration actions. Particularly, on September 5, 2003, a customer filed an investment related arbitration claim, in which $6,378.00 in damages was requested by the customer based upon allegations that Mazzo made unsuitable investment recommendations concerning mutual funds investments.
On January 22, 2008, another customer filed an investment related arbitration action involving Mazzo’s conduct, in which the customer requested $5,000.00 in damages based upon allegations that Mazzo effected trades which were not authorized. Subsequently, on May 12, 2015, a customer filed an investment related arbitration claim regarding Mazzo’s conduct, in which the customer requested $22,000.00 in damages based upon allegations that Mazzo effected purchases in the customer’s account without authorization.
Additionally, on March 24, 2016, a customer initiated investment related arbitration claim involving Mazzo’s conduct was resolved for $10,000.00 in damages based upon allegations that Mazzo made misrepresentations and unsuitable investment recommendations to the customer concerning unit investment trusts. The customer additionally alleged that UBS failed to supervise Mazzo’s activities in this regard.
Guiliano Law Group
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