PAUL JOSEPH PEZZA is currently employed as a Broker and/or Investment Adviser at CAPITAL BROKERAGE CORPORATION located at 6620 WEST BROAD STREET, BUILDING 2, RICHMOND, VA, 23230-1700.
PAUL JOSEPH PEZZA has worked at CAPITAL BROKERAGE CORPORATION since February 28, 2013
Disclosure History
PAUL JOSEPH PEZZA has 2 Disclosure Event(s).
Date: March 30, 2015 Category: Financial Type: Bankruptcy
Date: December 11, 2013 Category: Regulatory Initiated By: Office of the Bar Counsel of Massachuetts Allegations: The respondent made the statements set forth above knowing that the statements were false and/or deceptive and misleading, or with reckless disregard for the truth or falsity of the statements. Resolution: Stipulation and Consent SanctionDetails: Sanctions: Suspension SanctionDetails:Registration Capacities Affected: None Duration: 1 year & 1 day Start Date: 1/10/2014 End Date: 1/11/2015 Broker Comment: The suspension from the Massachusetts Bar was due to two comments within an affidavit; One statement was made without regard to its validity (heresay) and the other statement was found to be misleading.Broker was reinstated as a member of the Massachusetts Bar after a temporary suspension.
More Information
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