According to a recent FINRA announcement, Aldo Comuzzi (CRD #4333010, Boca Raton, Florida) recently submitted an AWC in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Comuzzi consented to the sanction and to the entry of findings that he allegedly refused to provide a response to a FINRA request for documents and information during an investigation into whether he had engaged in excessive trading and whether he had improperly utilized discretion without written approval in certain of his member firm’s customer accounts.
For the full findings, see FINRA Case #2014043592101.
According to his FINRA Broker Check, Comuzzi was registered with Dawson James Securities from 02/2008 – 09/2014.
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