FRANK GREGORY MAZZOLA

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/14/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010020933302 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Felix Investments LLC, Respondent Member Firm (BD No. 148441), William L. Barkow, Respondent General Securities Representative (CRD No. 2660220), Emilio A. DiSanluciano, Respondent General Securities Representative (CRD No. 2755224), and Frank G. Mazzo
Reference 2010020933302data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/10/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011029660001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Felix Investments, LLC, Respondent Member Firm (BD No. 148441) Frank Gregory Mazzola. Respondent General Securities Representative (CRD No. 2371623) Susan Mindlin Diamond, Respondent General Securities Principal (CRD No. 336264) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Felix Investments LLC
Reference 2011029660001data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2371623

Other names1

Also known as1

FRANK G. MAZZOLA

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