JOHN JOSEPH MAZZELLA
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/21/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JOHN JOSEPH MAZZELLA (CRD No. 4893599), Respondent. Disciplinary Proceeding No. 2007010339901 DEFAULT DECISION Hearing Officer-SNB April 21, 2009 Respondent is barred from associating with any FINRA member in any capacity for submitting false insurance applications and engaging in an unauthorized insurance transaction, in violation of Rule 2110, and failing to appear for testimony, in violation of
Reference 2007010339901data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4893599 |
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