FINRA Issues Bar To Dominic Scalzi

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.

Scalzi Barred By FINRA For Failure To Respond To FINRA

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.

Deutsche Bank Securities Inc. Terminates Dominic Scalzi For Outside Business Activities

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.

Scalzi Employment Information

• Scalzi worked for Deutsche Bank Securities Inc. in New York, New York, as a securities broker from October 26, 2006, to January 29, 2021.

Damages Resulting From Deutsche Bank Securities Inc. Securities Broker Scalzi?

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.