FRANK DANIEL MEZZANOTTE is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at ONE ASTORIA BANK PLAZA, LAKE SUCCESS, NY, 11042.
FRANK DANIEL MEZZANOTTE has worked at LPL FINANCIAL LLC since May 03, 2018
Disclosure History
FRANK DANIEL MEZZANOTTE has 3 Disclosure Event(s).
Date: November 10, 2005 Category: Customer Dispute Allegations: CUSTOMER ALLEGED RR MISREPRESENTED MUTUAL FUND PURCHASED SEPTEMBER 2005. Damage Amount Requested: $5,180.00 Broker Comment: FOUND NO BASIS FOR ALLEGATIONS OF WRONGDOING BY RR.ALL DOCS IN GOOD ORDER.$3630 OF ALLEGED DAMAGES FROM CLASS A SALES CHARGE, WHICH WAS ACKNOWLEDGED IN PAPERWORK.
Date: November 21, 2000 Category: Employment Separation After Allegations Firm Name: DEAN WITTER REYNOLDS Termination Type: Discharged Allegations: VIOLATION OF FIRM POLICY WITH REGARDS TO A MARGIN CALL Broker Comment: ON 11/17/2000, I DEPOSITED MY OWN CHECK FOR $625.00 INTO A CUSTOMER ACCOUNT OF A CLOSE FRIEND
Date: May 05, 1990 Category: Criminal Charges: THEFT BY UNLAWFUL TAKING AND RECEIVING STOLENPROPERTY. BOTH MISDEMEANOR OFFENSES. THEFT WAS OF A STREETSIGN DONE AS A SCHOOL PRANK. Charge Type: MISDEMEANOR Disposition: THE FIRST CHARGE OF THEFT BY UNLAWFUL TAKING -FOUND GUILTY AND JUDGE IMPOSSED A FINE OF $75.00. THIS WASPAID IN FULL ON 6/5/90. THE SECOND CHARGE OF RECEIVING STOLENPROPERTY WAS DISMISSED ON THE SAME DAY 6/5/90. Broker Comment: FRATERNITY PRANK, DONE AS A HAZING RITUAL
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