John Paul Mazza has worked in the securities industry for seventeen years. During that time he has been employed by five different securities firms. From 2000 to 2003 he worked for Merrill Lynch, Pierce, Fenner, & Smith Inc. From 2003 to 2005 he worked for Citi Group Global Markets Inc. From 2005 to 2009 he worked for UBS Financial Services. From 2009 to 2010 he worked for AFA Financial Group. He presently works for Independent Financial Group and has since 2010.
John Paul Mazza’s FINRA BrokerCheck reports shows that he has been the subject of two settled customer complaints, as well as two that were denied. The first settled complaint was brought forward in 2003. The customer alleged that the investments Mazza purchased for them were beyond the customer’s risk tolerance level. This case was settled for $45,000.
The second settled customer complaint was brought forward in April of 2018. A former customer of Mazza’s has alleged that Mazza mismanaged her deceased husband’s advisory account, resulting in significant loss. The former customer is seeking $5,000 in 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.