Maureen Scalzo, formerly with Benjamin F. Edwards & Company, Barred from Securities Industry

Have you lost money with financial advisor Maureen Scalzo from Danbury, Connecticut?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Maureen Ann Scalzo. FINRA barred Scalzo from the securities industry after she failed to respond to an investigation.  Scalzo was being investigated by FINRA for allegations that she altered or falsified customer forms.

Maureen Scalzo was a registered representative and financial advisor with Benjamin F. Edwards & Company from April 2011 to July 2018.  She worked out of a branch office in Danbury, Connecticut.  She was also fired by another firm in 2009 for altering information on client documents.

Broker-dealers like Benjamin F. Edwards & Company have a responsibility to adequately supervise all representatives who are registered through their firm, including investments sold by their registered representatives.  Broker-dealers also must take steps to ensure that their financial advisors follow all securities rules and regulations.  When broker-dealers 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 Phoenix, Arizona; Denver, Colorado; Seattle, Washington; Portland, Oregon and Ann Arbor, Michigan.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Connecticut.  Our attorneys have represented over one thousand investors against many brokerage firms in the past.

Click to view:  Scalzo, Maureen FINRA AWC

Click to view:  Scalzo, Maureen BrokerCheck 10.11.19

If you have lost money with Maureen Scalzo and Benjamin F. Edwards & Company, and want to hear about ALL legal options, CONTACT ISRAELS & NEUMAN at 720-599-3505.