Stephen Pizzuti, formerly with Freedom Investors Corp., Barred by SEC
Have you lost money with financial advisor Stephen Douglas Pizzuti from Altamonte Springs, Florida? We are looking into allegations made by the Securities and Exchange Commission (SEC) against Stephen Pizzuti. The SEC alleged that Pizzuti pleaded guilty to concealing assets in a bankruptcy case.
Stephen Douglas Pizzuti was a registered representative and financial advisor with Freedom Investors Corp. from December 2013 to March 2017. He worked out of a branch office in Altamonte Springs, Florida. Pizzuti has also been the subject of at least eight customer complaints and three regulatory actions.
Broker-dealers like Freedom Investors Corp. 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 Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Florida. Attorney David Neuman is licensed to practice law in Florida. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Freedom Investors Corp.