UPDATE–Comuzzi named in customer arbitration alleging unauthorized trading. Case settled for $65,000. See this for more.
September 15, 2015- Boca Raton, FL
Aldo Comuzzi , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that failed to provide information and documentation with regard to a FINRA investigation into whether Comuzzi had engaged in excessive trading and whether Comuzzi had improperly utilized discretion without written approval in customer accounts.
AWC No. 2014043592101
Comuzzi was barred from the securities industry.
According to FINRA records, Comuzzi was registered with Dawson James Securities from 2/2008-9/2014.
Dawson James Securities is headquartered in Boca Raton, FL.
If you suffered losses in an account handled by Aldo Comuzzi, contact us to discuss your legal options.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
Florida-561 391 1900