SCOTT THEODORE MAZUR is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 3507 KYOTO GARDENS DR, PALM BEACH GARDENS, FL, 33410.
SCOTT THEODORE MAZUR has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since September 05, 1996
Disclosure History
SCOTT THEODORE MAZUR has 2 Disclosure Event(s).
Date: October 22, 2001 Category: Customer Dispute Allegations: CLIENTS ALLEGED THEIR ACCOUNT DID NOT FOLLOW THEIR INTENTIONS AND THAT THEY WOULD NOT HAVE UTILIZED MARGIN IF IT WAS EXPLAINED TO THEM. DAMAGES UNSPECIFIED. Broker Comment: MERRILL LYNCH AND MR. MAZUR DEY ANY AND ALL WRONGDOING IN THIS MATTER. THE CLIENT'S CLAIMS WERE DENIED. THE CLIENTS MADE PROPERLY INFORMED INVESTMENT DECISIONS AND THEIR LOSSES WERE ATTRIBUTABLE TO UNFAVORABLE MARKET ACTIVITY. WHILE SCOTT MAZUR WAS THE FINANCIAL ADVISOR, THE CUSTOMERS' INVESTMENTS WERE NOT ON MARGIN. SCOTT MAZUR NEVER RECOMMENDED THAT PURCHASES BE MADE USING MARGIN. MARGIN PURCHASES OCCURRED AFTER SCOTT MAZUR RESIGNED AS THE FINANCIAL ADVISOR.
Date: June 02, 2000 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT MR. MAZUR INITIATED THE SALE OF HER MUTUAL FUND AT PRUDENTIAL SECURITIES WITHOUT HER CONSENT DURING HER ACCOUNT TRANSFER TO MERRILL LYNCH IN FEBRUARY 2000. NO SPECIFIC DAMAGES CLAIMED. Broker Comment: THE CUSTOMER SIGNED A LIQUIDATION AUTHORIZATION LETTER TO SELL THE POSITION IN QUESTION. THE CLAIM HAS BEEN DENIED AND IS DEEMED TO BE WITHOUT MERIT.
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