Timothy Fazzone of Dublin, Ohio has been barred from association with any FINRA member firm in any capacity. According to FINRA’s findings, Mr. Fazzone converted $5,775 from a customer’s estate by wrongfully obtaining reimbursement for a commission that he was not entitled to retain. Mr. Fazzone was employed by NYLife Securities from June 2015 to July 2018, and by Equity Services from August 2018 to November 2020.
Mr. Fazzone’s Brokercheck record also discloses a 2019 customer dispute, in which the customer alleged that she was sold a series of variable annuities that were unsuitable for her. The customer further alleged that she was directed to withdraw funds from existing annuities to purchase annuities with other firms at a cost of $52,950.00. The customer obtained a settlement in the amount of $35,000.
If you have suffered losses as a result of the misconduct or malpractice of Timothy Fazzone, you may have a claim for money damages. Call experienced investor attorney Daniel J. Broxup for a free no-obligation consultation.
If you have suffered investment losses as a result of malpractice or misconduct our experienced team of investment fraud attorneys may be able to assist you in recovering some or all of your losses. Call us toll-free at 888-607-4819 for a free consultation or email us through our “Contact” page to schedule a free consultation.