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.
The foregoing information has been provided by The White Law Group. 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 a free consultation with a securities attorney, please call the firm’s Chicago office at 312/238-9760.
For more information on the firm and its representation of investors, visit https://whitesecuritieslaw.com.Tags: Aldo Comuzzi, Aldo Comuzzi barred, Aldo Comuzzi FINRA, stockbroker Aldo Comuzzi Last modified: December 16, 2015