Frank mazzola felix investments cnbc
WebMar 12, 2024 · Investors who believe they lost money as a result of Frank Mazzola and Felix Investments, LLC ’s alleged sales of securities by an unregistered broker may … WebMar 31, 2014 · According to the SEC, Frank Mazzola and the brokerage firm Felix Investments Inc will pay $500,000 to settle charges with the Securities and Exchange Commission. In 2012, Mazzola and Felix allegedly defrauded investors in funds created to purchase shares in technology companies, such as Facebook, prior to their initial public …
Frank mazzola felix investments cnbc
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WebMar 20, 2014 · Frank Mazzola et al., Civil Action No. No. 12-cv-1258 MMC (N.D. Cal. filed Mar. 14, 2012) ... Mazzola, Felix Investments, and Facie Libre Management Associates … Webrespiratory disease or cancer the people you live around can also affect your health as some places have lower or higher rates of physical activity increased alcohol ...
WebJan 19, 2024 · The SEC said that from 2009 to 2014, Mr. Mazzola was a registered representative of Felix Investments, which was expelled by the Financial Industry … WebSep 30, 2013 · In March 2012, the SEC charged Mazzola and Felix Investments, the brokerage firm he co-owns with his uncle John Bivona, …
WebMar 22, 2016 · ASSOCIATES, LLC; FRANK GREGORY MAZZOLA, Defendants, and SRA I LLC; SRA II LLC; SRA III LLC; FELIX INVESTMENTS, LLC; MICHELE J. MAZZOLA; ANNE BIVONA; CLEAR SAILING GROUP IV LLC; CLEAR SAILING GROUP V LLC, Relief Defendants. Case No. COMPLAINT 3:16-cv-1368 Case No. 3:16-cv-1368 Case 3:16-cv …
WebJan 15, 2014 · ORDER APPROVING STIPULATION AND [PROPOSED] ORDER TO CONTINUE TRIAL DATE. MAXINE M. CHESNEY, District Judge. Plaintiff Securities and Exchange Commission (the "Commission") and defendants Frank Mazzola, Felix Investments, LLC, and Facie Libre Management Associates, LLC (collectively, the …
WebStretto hadestown new yorkWebSpecifically, Mazzola may continue, until August 31, 2014. to remain associated with Felix Investments and Felix Advisors, LLC subject to the limitations of the SEC Order and subject to the oversight of an independent third-party consultant retained for such purpose, in order to permit the orderly, scheduled resolution of certain funds. brainstorm toys space torchWebMay 2, 2014 · 1. Felix Investments, LLC (CRD# 148441) (“Felix Investments”), has been registered with the Bureau as a broker-dealersince August 14, 2009. It has a principal place of business of 600 East Crescent Avenue, Suite 105, Upper Saddle River, NJ 07458-1846. 2. Frank Mazzola (CRD# 2371623) (“Mazolla”), residing in Upper Saddle River, NJ, brainstorm training videosWebAug 19, 2014 · Susan M. Diamond, Lake Worth, FL was fined $10,000 by the Financial Industry Regulatory Authority (FINRA) and received a four month suspension. Felix Investment, the New Jersey based firm she worked with, was additionally fined $300,000 and Frank G. Mazzola who is part owner of Felix, was barred from the industry by … brainstorm treatment for alsWebMar 15, 2012 · Felix and co-owner Frank Mazzola were sued Wednesday by the Securities and Exchange Commission, which accused Mazzola of taking hidden commissions and misleading investors about how many Facebook ... brainstorm toys ukWebMar 15, 2012 · The SEC alleged that money manager Frank Mazzola and his firms, Felix Investments and Facie Libre Management, created two funds to invest in Facebook and other high-profile tech companies. brainstorm treeWebA federal judge on Monday approved a consent judgment that settles U.S. Securities and Exchange Commission claims against Frank Mazzola and his two firms for $500,000, concluding a two-year case ... hadestown nyc broadway