January 2020 – San Jose, CA
The FINRA records of Marco Bartolo Azizi, a stockbroker who is currently employed by Centaurus Financial, Inc., disclose 2 pending customer disputes.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In 7/2019, a customer of J.P. Turner and Company / Cetera Financial Group filed FINRA case #19-01990 alleging that Azizi facilitated unsuitable, high-risk and illiquid investments during the period of 2012-2014. This case is pending and damages will exceed $5,000.
In 10/2018, a customer of Summit Brokerage Services, filed FINRA case #18-03549 alleging unsuitable investments in real estate securities. The case is still pending.
Marco B. Azizi has been employed by Centaurus Financial, Inc. since 7/2016. He was previously with Summit Brokerage Services, Inc. , J. P. Turner and Company Capital Management and Cetera Investment Advisors.
If you have questions about an account handled by Marco Bartolo Azizi call for a no charge consultation to learn more about your legal options.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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