Soreide Law Group is investigating possible investor claims against securities broker Dominic John Scalzi (CRD: 1689662, New York, New York). Evidently, FINRA sanctioned the securities broker, who worked for Deutsche Bank Securities Inc. Allegedly, Scalzi failed to respond to FINRA’s request for information. Here is a brief summary of FINRA’s allegations against Scalzi.
Evidently, on October 18, 2021, FINRA issued Letter No. 2021070117501 sanctioning Dominic Scalzi for infractions. Specifically, Scalzi was barred, which precludes working for a FINRA-member securities firm in any role. Particularly, FINRA alleged that Scalzi failed to respond to FINRA’s request for information.
According to FINRA Rule 9552(h) and in line with the letters of Suspension and Suspension from Association issued by FINRA on July 15, 2021, and August 9, 2021, respectively, Scalzi is prohibited from associating with any FINRA member in all capacities starting from October 18, 2021.
Supposedly, Scalzi did not request the termination of his suspension within three months of receiving the Notice of Suspension. Consequently, he is automatically prevented from associating with any FINRA member in all capacities.
Evidently, on December 31, 2020, Deutsche Bank Securities Inc. disaffiliated with Dominic Scalzi. Evidently, Deutsche Bank Securities Inc. alleged that Scalzi engaged in an undisclosed outside business activity.
Did you suffer losses from investing with Dominic Scalzi? If so, get in touch with Soreide Law Group at (888) 760-6552 and talk with a securities lawyer about a potential recovery of your losses. Soreide Law Group, who has successfully recovered money for hundreds of investors across the United States, represents clients on a contingency fee basis and advances all costs. Scalzi and brokerage firms Scalzi worked for deny any and all allegations of sales practice violations.
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
Every settled customer dispute on Peter Maller's BrokerCheck report names Lincoln Financial as the firm. Maller holds CRD number 2322403. The newest dispute, filed on March 5, 2024, settled on August 15, 2024 for $12,500 against alleged damages of $50,000. The claimants alleged that the representative represented an oil and gas investment as safe.
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