CHARLES PAUL LAZZARO is currently employed as a Broker and/or Investment Adviser at WEDBUSH SECURITIES INC. located at 1200 PROSPECT STREET SUITE 350, LA JOLLA, CA, 92037.
CHARLES PAUL LAZZARO has worked at WEDBUSH SECURITIES INC. since May 02, 2008
CHARLES PAUL LAZZARO has 9 Disclosure Event(s).
Date: July 16, 2003 Category: Customer Dispute Allegations: BREACH OF FIDUCIARY DUTY, FRAUD, NEGLIGENCE, VIOLATION OF CONSUMER LEGAL REMEDIES ACT, ELDER ABUSE Damage Amount Requested: $322,000.00 Settlement Amount: $128,000.00 Broker Comment: MR. LAZZARO WAS NAMED AS A PARTY IN THE CASE ONLY BECAUSE HE IS A PRINCIPAL OF THE FIRM
Date: June 27, 2003 Category: Customer Dispute Allegations: FAILURE TO SUPERVISE Damage Amount Requested: $190,000.00 Settlement Amount: $285,000.00 Broker Comment: RESPONDENT LAZZARO DENIES ALL ALLEGATIONS. 10/8/2004 THREE CLAIMANTS AND RESPONDENTS HAVE ENTERED INTO A CONFIDENTIAL SETTLEMENT AGREEMENT. CLAIMANTS AND CLAIMANT COUNSEL RECOMMENDING EXPUNGMENT OF MATTER.
Date: April 27, 2003 Category: Customer Dispute Allegations: FAILURE TO SUPERVISE Damage Amount Requested: $99,900.00 Settlement Amount: $150,000.00 Broker Comment: LAZZARO WAS DISMISSED AS PART OF THE SETTLEMENT WITH PREJEDICE
Date: February 26, 2003 Category: Customer Dispute Allegations: BREACH OF FIDUCIARY DUTY, FRAUD, NEGLIGENCE, VIOLATION OF CONSUMER LEGAL REMEDIES ACT, ELDER ABUSE Damage Amount Requested: $225,000.00 Settlement Amount: $110,000.00 Broker Comment: MR. LAZZARO WAS NAMED AS A PARTY IN THE CASE ONLY BECAUSE HE IS A PRINCIPAL OF THE FIRM. HE DENIES ALL ALLEGATIONS
Date: December 18, 2002 Category: Customer Dispute Allegations: FAILURE TO SUPERVISE, BREACH OF FIDUCIARY DUTYNEGLIGENT MISREPRESENTATION AND OMISSION Damage Amount Requested: $117,000.00 Settlement Amount: $25,000.00 Broker Comment: MR. LAZZARO WAS DISMISSED AS PART OF THE SETTLEMENT.
Date: November 05, 2002 Category: Customer Dispute Allegations: FAILURE TO SUPERVISE, BREACH OF FIDUCIARY DUTY; SEC BROKERAGE MALPRACTICE, COMMON LAW FRAUD/NY Damage Amount Requested: $150,000.00 Settlement Amount: $56,000.00 Broker Comment: WITHOUT ADMITTING OR DEYNING, THE BROKER SETTLED WITH THE CLIENT. I WAS DISMISSED FROM THE CASE
Date: November 03, 1999 Category: Customer Dispute Allegations: UNAUTHORIZED TRADE BY BROKER DREW CHALMERS, FAILURE TO SUPERVISE. Damage Amount Requested: $29,913.84 Settlement Amount: $21,000.00 Broker Comment: 01/31/2001. RESPONDENT ENTERED DISMALL AGREEMENT WITH CLAIMANT. FIRM SETTLED WITH CLAIMANT FOR $21000.00 AND REACH A SETTLEMENT PRIOR TO ARBRITRATION HEARING
Date: August 17, 1983 Category: Customer Dispute Allegations: BREACH OF FID DUTY/MISREPRESENTATION/ACCT RELATED NEGLIGENCE CONCEALMENT Damage Amount Requested: $29,353.50 Damages Granted: $17,723.00 Broker Comment: [CUSTOMER] WAS AWARDED $17,723.00 ($12,254.00 IN DAMGAGES + INTEREST) ON 9/9/87 FOR HER CLAIM THAT THERE WAS A BREACH OF FIDUCIARY DUTY AND NEGLIGENCE; INTENTIONAL FRAUDULENT REPRESENTATION AND CONCEALMENT IN REGARD TO PURCHASE OF T.O.N.M. OIL AND GAS EXPLORATION STOCK. LAZZARO WAS NOT ASKED TO CONTRIBUTE TO THE AWARD.
Date: December 10, 1982 Category: Customer Dispute Allegations: VIOLATION OF SECURITIES LAWS, BREACH OF FIDUCIARY DUTY, FRAUD AND DECEIT, VIOLATION OF CALIFORNIA CORPORATIONS CODE, AND NEGLIGENT MISREPRESENTATION. Damage Amount Requested: $2,000,000.00 Settlement Amount: $129,000.00 Broker Comment: THE COMPLAINT WAS SETTLED ON MAY 9,1986 FOR $129,000.00. PAYMENT OF THE SETTLEMENT AMOUNT WAS MADE ON JUNE 16, 1986.
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