Joseph John Mauro (Joe Mauro) – Financial Advisor/Broker Joe Mauro Suspended from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses
Joseph John Mauro (Joe Mauro) CRD #2046076
Joe Mauro was a previously licensed financial advisor/broker with Ameritas Investment Group. According to FINRA, Joe Mauro was fined $5,000 and suspended from the securities industry for one month in April 2020.
According to FINRA Allegations:
Joe Mauro consented to the sanctions and to the entry of findings that Joe Mauro falsified customers’ signatures on variable annuity withdrawal forms, after the customers requested those withdrawals. The findings stated that each of the withdrawal forms resulted in the movement of customer funds from the customer’s variable annuity to the customer’s personal bank account. Two of the customers authorized Joe Mauro to sign their names to the forms.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost money on investments with Joe Mauro 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 Joe Mauro’ 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 Joe Mauro 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.
Some of the information in this blog post was obtained on 4/21/2020 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.
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