According to FINRA’s November Disciplinary Action Report, Boca Raton, Florida based broker Aldo Comuzzi recently agreed to be permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public.
Without admitting to or denying the Financial Industry Regulatory Authority findings, Comuzzi consented that he refused to respond to FINRA’s request for information.
In September 2015, FINRA reportedly sent a request through Harris’s counsel for information in connection with an investigation to determine if he had engaged in excessive trading and if he had improperly used discretion without written approval in certain customer accounts. For the full FINRA findings, see FINRA Case #2014043592101.
According to BrokerCheck, Comuzzi entered the securities industry in 2001 as a registered representative with Sterling Financial Investment Group. From 07/2005 – 02/2008 he worked at Delta Equity Service Corporation. Most recently, Comuzzi worked with Dawson James Securities from 02/2008 – 09/2014.
If you were a client of Aldo Comuzzi and suffered investment losses, The White Law Group may be able to help. For a free consultation please call the securities attorneys of The White Law Group at 312-238-9650 for a free consultation.
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee.
For more information on The White Law Group, visit www.WhiteSecuritiesLaw.com.