Anthony Mastroianni, formerly of J.P. Turner and Alexander Capital, Barred by FINRA
Have you lost money with financial advisor Anthony Mastroianni of New York, New York? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Anthony Mastroianni, Jr. FINRA barred Mastroianni after he failed to respond to an investigation. FINRA was investigating Mastroianni for allegations that he engaged in excessive trading or churning of an elderly customer’s account between 2011 and 2013, when he was affiliated with J.P. Turner and then Alexander Capital. He was also alleged to have borrowed money from customers, in violation of FINRA rules.
Anthony Mastroianni was a financial advisor and registered representative of Meyers Associates from November 2013 to August 2016. He was also affiliated with J.P. Turner from April 2009 to May 2012, and then with Alexander Capital from May 2012 to November 2013. He worked at a branch office in New York, New York. Mastroianni has been the subject of at least six customer complaints, alleging that he made unsuitable investment recommendations, that he churned or excessively traded accounts, and that he breached his fiduciary duties, according to BrokerCheck.
Brokerage firms like Meyers Associates, J.P. Turner, and Alexander Capital have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado and the Seattle area. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in New York. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including J.P. Turner.
Click to view: Mastroianni, Anthony FINRA AWC
Click to view: Mastroianni, Anthony BrokerCheck 12.12.16
HAVE YOU LOST MONEY WITH ANTHONY MASTROIANNI, J.P. TURNER, ALEXANDER CAPITAL, OR MEYERS ASSOCIATES?
CONTACT ISRAELS & NEUMAN, PLC FOR A FREE CASE EVALUATION
Aaron Israels: (720) 599-3505
David Neuman: (206) 795-5798
Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.