STEPHEN J MAZZEI

STEPHEN J MAZZEI is currently employed as a Broker and/or Investment Adviser at RAYMOND JAMES FINANCIAL SERVICES, INC. located at 254 FAIR ST, KINGSTON, NY, 12401.

STEPHEN J MAZZEI has worked at RAYMOND JAMES FINANCIAL SERVICES, INC. since November 20, 2012

Disclosure History

STEPHEN J MAZZEI has 2 Disclosure Event(s).

Date: September 26, 2008
Category: Customer Dispute
Allegations: UNAUTHORIZED AND UNSUITABLE TRADING. 03/28/04-04/01/08
Damage Amount Requested: $25,000.00
Settlement Amount: $9,999.00 08-04308

Date: May 06, 2002
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES HIS FINANCIAL ADVISOR INVESTED HIS MOTHER'S ASSETS IN UNSUITABLE MUTUAL FUNDS.
Damage Amount Requested: $10,825.00
Broker Comment: THE CLIENT'S ALLEGATIONS WERE FOUND TO BE WITHOUT MERIT AND THE COMPLAINT WAS CLOSED. CUSTOMER IS DISSATISFIED WITH ACCOUNT'S PERFORMANCE. WE FOUND NO EVIDENCE OF WRONGDOING ON THE PART OF MR. MAZZEI.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

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

To view the full report for STEPHEN J MAZZEI, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.