BRIAN DENNIS MAZGAJ

BRIAN DENNIS MAZGAJ is currently employed as a Broker and/or Investment Adviser at BMO HARRIS FINANCIAL ADVISORS, INC. located at 801 LAUREL OAK DRIVE SUITE 600, NAPLES, FL, 34108-2737.

BRIAN DENNIS MAZGAJ has worked at BMO HARRIS FINANCIAL ADVISORS, INC. since August 01, 2012

Disclosure History

BRIAN DENNIS MAZGAJ has 3 Disclosure Event(s).

Date: March 02, 2010
Category: Customer Dispute
Allegations: CLIENT ALLEGES FA FAILED TO DISCLOSE SURRENDER CHARGES ASSOCIATED WITH THE ANNUITY. ALLEGES DAMAGES UNSPECIFIED, HOWEVER BELIEVED TO EXCEED $5000. DATES OF ACTIVITY UNSPECIFIED IN COMPLAINT.
Broker Comment: FIRM DETERMINED THAT CLIENT SIGNED AGREEING TO THE RECEIPT AND UNDERSTANDING OF THE ANNUITY STATEMENT OF UNDERSTANDING AND ANNUITY DISCLOSURE STATEMENT BOTH OF WHICH EXPLAINED THE SURRENDER SCHEDULE AND APPLICABLE CHARGES IN FULL DETAIL.

Date: July 22, 2003
Category: Customer Dispute
Allegations: CLAIMANTS ALLEGE UNSUITABLE INVESTMENT RECOMMENDATIONS AND ASSET ALLOCATION IN THEIR ACCOUNT.
Damage Amount Requested: $200,000.00
Settlement Amount: $82,500.00
Broker Comment: RESPONDENTS MERRILL LYNCH AND BRIAN MAZGAJ DENINED ALL ALLEGATIONS OF IMPROPER, WRONGFUL OR ACTIONABLE CONDUCT. NONETHELESS, THE MATTER WAS SETTLED FOR THE COST OF THE DEFENSE AND THE UNCERTAINTY OF ARBITRATION. CLAIMANTS AGREED TO AN EXPUNGEMENT OF THE ARBITRATION AND COMPLAINT FROM BRIAN MAZGAJ REGISTRATION RECORDS.

Date: June 20, 2003
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES UNSUITABLE INVESTMENTS IN HIS ACCOUNT. NO SPECIFIED DAMAGES ALLEGED.

More Information

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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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