Florida Office of Financial Regulation barred financial advisor Thomas Arthur Amendola [CRD: 1005661, Naples, Florida], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Thomas Amendola has worked for Doza Investments LLC as Managing Member and Chief Compliance Officer since June 2009. Investors should continue reading to discover more about disclosures involving Amendola as reported on BrokerCheck.
Florida Office Of Financial Regulation Sanctioned Amendola For Alleged Florida Securities Law Violations
Particularly, on April 25, 2026, the Florida Office of Financial Regulation issued Case: 11-2025-CA-001286-0001-01 sanctioning Thomas Amendola. According to the disclosure, the Florida Office of Financial Regulation brought a regulatory action against Amendola in connection with alleged violations of Florida securities laws while he was associated with Doza Investments LLC.
The disclosure states that Amendola allegedly violated Florida Statutes § 517.301. The statute prohibits fraud and deceptive practices in connection with investments, securities, and investment advice. The statute makes it unlawful to defraud investors, make material misrepresentations or omissions, engage in deceptive conduct, conceal important facts, or submit false information to regulators. In essence, the statute is designed to protect investors by ensuring honesty and transparency in securities and investment-related activities.
Sanctions Ordered
The disclosure indicates that the matter reached a final resolution on April 25, 2026. Amendola was permanently barred. In addition, the court ordered restitution totaling $1,661,045.24 for affected investors and imposed civil penalties totaling $350,000. BrokerCheck further reports that the order constituted a final order based on violations of laws prohibiting fraudulent, manipulative, or deceptive conduct.
Have You Made Investments Through Financial Advisor / Securities Broker Thomas Amendola?
Did you experience losses because of Thomas Amendola? You can contact Soreide Law Group online or at (888) 760-6552 and speak to a securities attorney regarding a possible recovery of your investment losses. Soreide Law Group has recovered losses for many investors throughout the country. Also, our securities lawyers work on a contingency fee arrangement and advance all costs. Amendola and brokerage firms Amendola worked for deny allegations of sales practice violations.
