Former Benjamin Edwards Financial Advisor, Maureen Scalzo, Barred By FINRA After Failing To Comply With Investigation Into Alleged Falsification Of Customer Forms
Maureen Scalzo (CRD # 1349675) was a Financial Advisor at Benjamin F. Edwards & Company, Inc. in Danbury, CT. Maureen Scalzo has been in the securities industry since 1985 and previously worked at Wells Fargo Advisors, LLC and Harris Associates Securities L.P.
According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in October 2019, Maureen Scalzo was barred by FINRA for refusing to “appear for on-the-record testimony” and for regusing to “participate in FINRA’s investigation into possible alteration or falsification of customer forms submitted to her member firm.”
For a copy of the FINRA sanction, click https://www.finra.org/sites/default/files/fda_documents/2018059088001%20Maureen%20Scalzo%20CRD%201349675%20AWC%20jm.pdf.
In December 2009, Maureen Scalzo was “discharged” by Wells Fargo Advisors for “VIOLATION OF FIRM POLICIES AND PROCEDURES: ALTERING INFORMATION ON CLIENT DOCUMENTS.”
For a copy of Maureen Scalzo’s CRD, click https://brokercheck.finra.org/individual/summary/1349675#disclosuresSection.
Financial advisors have a legal and regulatory obligation to recommend only suitable investments that are appropriate for their clients’ needs and objectives. Their employing brokerage firm has a legal and regulatory obligation to supervise the Financial Advisors’ sales practices and dealings with clients. To the extent any of these duties are breached, the customer may be entitled to a recovery of his or her investment losses.
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