The law firm of Oakes & Fosher is presently investigating the possible misconduct of former securities broker John Paul Mazza. According to his publicly available FINRA BrokerCheck report, John Paul Mazza has been the subject of multiple customer disputes.

John Paul Mazza operated most recently as a Michigan based securities broker. He worked in the securities industry for seventeen years. During his career, he was registered with five different securities firms. He is no longer working as a registered securities broker in any fashion.

His Registrations

  • Merrill Lynch (2000-2003)
  • Citigroup Global Markets (2003-2005)
  • UBS Financial Services (2005-2009)
  • AFA Financial Group (2009-2010)
  • Independent Financial Group (2010-2018)

The Allegations

  • In January 2003, customers alleged that John Paul Mazza placed them in investments beyond their risk tolerance. This case was settled for $45,000 in damages.
  • In August 2009, a customer alleged that John Paul Mazza misrepresented the investments he placed him in as suitable for him.
  • In January 2010, customers alleged that John Paul Mazza recommended unsuitable investments in equities and mutual funds. This case was settled for $40,000 in damages.
  • In April 2018, a customer alleged that John Paul Mazza mismanaged her husband’s account.

Oakes & Fosher Can Help

Many investors are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who have lost money in this fashion may actually be entitled to damages. Oakes & Fosher dedicates its entire legal practice to helping clients on a nationwide basis. If you, or someone you know, have lost money investing with John Paul Mazza, please contact Oakes & Fosher for free and private consultation. Oakes & Fosher handles cases on a contingency basis, which means there are no fees charged unless we collect for you.