Erez Law Investigates Former National Securities Corporation Broker Vincent Mazza
Posted on Monday, March 9th, 2020 at 8:35 pm
Did you lose money investing with former National Securities Corporation broker Vincent Mazza (CRD# 4332577)? Mazza was registered with National Securities Corporation in Jersey City, New Jersey from 2006 to 2018.
In October 2019, FINRA barred Mazza after he failed to respond to FINRA request for information.
Mazza has been the subject of six customer complaints between 2004 and 2018, one of which was denied and two were closed without action, according to his CRD report. The most recent complaint is regarding:
December 2018. “Unauthorized trading, breach of fiduciary duty & violation of New Jersey Uniform Securities law 49:3-47 et. seq.” The customer is seeking $400,000 in damages and the case is currently pending. The complaint is regarding equity OTC and took place while Mazza was registered with National Securities Corporation.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, National Securities Corporation may be liable for investment or other losses suffered by Mazza’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If and have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.