Scott Alfredo Miozzi of New Windsor New York a stockbroker formerly registered with NYLife Securities LLC has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on accusations that he failed to provide a response to FINRA’s request for his information. Case No. 2018058244001 (Aug. 23, 2018).

FINRA Public Disclosure confirms that FINRA provided Miozzi with a July 30, 2018 Notice of Suspension letter which stated that he would be suspended by FINRA in all capacities starting on August 23, 2018. Miozzi has apparently been warned by FINRA that his continued non-compliance with FINRA’s requests could cause him to be automatically barred by FINRA in all capacities on November 2, 2018.

Additionally, Miozzi is referenced in a customer initiated investment related written complaint which settled for $24,433.84 in damages on May 9, 2018 supported by allegations that Miozzi misrepresented the terms and the liquidity of a fixed annuity that the customer purchased on April 26, 2017 with the proceeds from a variable annuity.

Miozzi’s registration with NYLife Securities LLC has been terminated as of March 20, 2018.

The information contained herein has been obtained from reliable sources however may not be accurate and is not guaranteed by us. Readers are encouraged to undertake their own independent investigation and evaluation of the relevant facts. All claims and allegations are subject to adjudication, decisions may be subject to appeal, and no inference is intended, nor should any inference be made from any information contained herein from any source.

This posting and the information on our website is for general information purposes only. This content should be not considered legal advice, and any responses, comments, e-mails, other communications do not form any attorney client relationship. Attorney Advertisement. See Important Disclaimer

Guiliano Law Firm

Our practice is limited to the representation of investors. Over the last three decades, we have recovered more than a hundred millions of dollars for more than 1,000 injured investors from all over the United States and several foreign countries. We accept representation purely on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a confidential consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.

For more information concerning common claims against stockbrokers and investment professionals, please visit us at stockbrokerfraud.com

To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com

[contact-form][contact-field label=’Name’ type=’name’ required=’1’/][contact-field label=’Email’ type=’email’ required=’1’/][contact-field label=’Stockbroker/Securities Broker-Dealer’ type=’text’/][contact-field label=’Brief Description of Complaint’ type=’textarea’ required=’1’/][/contact-form]

Tags: ,

No comments yet.

Leave a Reply

Name (required)

Email (will not be published) (required)

Website