Daniel Rozzi – Financial Advisor Daniel Rozzi Barred from Securities Industry

Daniel Rozzi – Financial Advisor Daniel Rozzi Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses

Daniel Rozzi CRD #5319858

Daniel Rozzi was a previously licensed financial advisor with Ashton Stewart & Co., Inc., Metlife, and Oppenheimer & Co. Inc. According to FINRA, Daniel Rozzi was barred from the securities industry in June 2019.

ACCORDING TO FINRA: Daniel Rozzi consented to the sanction and to the entry of findings that he willfully failed to amend his Form U4 to disclose a $14,789 civil judgment entered against him that remains unsatisfied. The findings stated that in addition, Daniel Rozzi falsely represented that he did not have any outstanding judgments against him in response to a FINRA personal activity questionnaire that his member firm asked him to complete, which it then submitted to FINRA in connection with a sales practice examination of the firm. The findings also stated that Daniel Rozzi submitted false written responses to FINRA about the civil judgment.

According to Daniel Rozzi’s CRD, a customer dispute was filed with the client alleging inter alia that Daniel Rozzi provided her with erroneous reports summarizing the results of her trading activity during 2013 and that she did not receive agreed upon commission discounts. According to Daniel Rozzi’s CRD, this customer dispute was settled for $475,000.

If you lost money on investments with Daniel Rozzi and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Daniel Rozzi’ conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.

Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Daniel Rozzi and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us. 

Investment Fraud Attorney, Stockbroker Misconduct Disciplinary Actions, Unsuitable Investment Advice, Investment Fraud, Churning, Misrepresentation and Omission of Material Facts, Elder Fraud, Unauthorized Trading, Theft, Selling Away, Unapproved Outside Business, Nationwide, PIABA, SEC, Securities Exchange Commission, NASD, National Association of Securities Dealers, NASDAQ, Dow Jones, Wall Street, New York Stock Exchange

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