Broker Investigation: Sam Aziz

Sam Aziz (CRD#: 1721932) is a registered broker and investment advisor. Since July of 2018, Mr. Aziz has been employed at David A. Noyes & Company in Dublin, Ohio. Previously, this broker was also associated with Coastal Equities, Wells Fargo Advisors Network, and Stifel, Nicolaus & Company.

On August 29th, 2017, an investor filed a complaint against then Coastal Equities financial advisor Sam Aziz. According to the allegations, Mr. Aziz made unauthorized transactions, unsuitable investment recommendations, and excessive trades. The complaint was eventually settled for $210,000.

FINRA Investigation: Former Coastal Equities Broker Sam Aziz

On October 24th, 2018, the Financial Industry Regulatory Authority launched an investigation into alleged misconduct on the part of Sam Aziz. The agency made initial recommendations that disciplinary action should be taken against this financial advisor. More specifically, the agency contends that Mr. Aziz:

At this time, Mr. Aziz has not admitted to or denied any wrongdoing in this case. While initial determinations have been made by FINRA, there has yet to be any final decision or official disciplinary action.

Contact Our Investor Losses Attorneys Today

At Sonn Law Group, our securities fraud lawyers have extensive experience handling unsuitable investment claims and excessive trading claims. Please contact our law office today to schedule a free, no risk initial consultation.

Disclaimer: This article contains opinions and NOT statements of fact in any way whatsoever. The information here is general information that should not be taken as legal advice. NO attorney-client relationship is established between you and our attorneys by reading this article. This article is attorney advertising and should not be used as a substitute for legal advice from a qualified securities lawyer.

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