Investors potentially experienced sales practice violations by securities broker Thomas Mazzara (also known as Tom Mazzara) [CRD: 1294121, New York, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Thomas Mazzara worked for Alliance Global Partners from October 24, 2022, to the present, and previously worked for Royal Alliance Associates Inc. from August 30, 2007, to November 16, 2022. Keep reading to discover more about disclosures involving this securities broker.
An allegation of unsuitable non-traded REIT advice generally means a client claims a broker recommended a non-traded real estate investment trust that did not match the client’s financial situation, risk tolerance, or investment goals. These products can be illiquid and complex, and clients may also allege that risks, fees, or limitations were not adequately explained before the investment was made.
Particularly, on June 6, 2025, a Royal Alliance Associates Inc. client filed FINRA Arbitration No. 25-01166 concerning Thomas Mazzara. Mainly, the client alleged that Mazzara made unsuitable recommendations and failed to fully explain material features and risks. For this reason, the client allegedly sustained damages related to direct investments, including real estate investment trusts. As a result, the client requested $50,000 in compensation from Royal Alliance Associates Inc. or Mazzara. It appears that this arbitration is pending a resolution.
Do you need clarification on any investment losses relating to Thomas Mazzara? Contact Soreide Law Group online or at (888) 760-6552. Talk with a securities attorney concerning a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the United States. Also, the firm takes cases on a contingency fee arrangement and advances all costs. Mazzara and brokerage firms Mazzara worked for deny accusations of sales practice violations.
Investors potentially experienced sales practice violations by securities broker Matthew R. Carbray [CRD: 4565811, Northampton, Massachusetts], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Carbray has worked for Kestra Investment Services LLC since July 21, 2006, and Kestra Advisory Services LLC since April 19, 2016. Continue reading to learn more about Carbray’s […]
Investors apparently complained about securities broker Juan Pablo Benavides [CRD: 4288007, Miami, Florida], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Benavides has worked for Merrill Lynch as a securities broker since November 22, 2000, and as a financial advisor since March 15, 2004. See below to find out more about […]
Investors potentially incurred losses because of securities broker Sandy Meyer Leff [CRD: 1796695, Atlanta, Georgia], according to information disclosed through Financial Industry Regulatory Authority (FINRA) BrokerCheck. Leff has worked for Carter Terry Company Inc. as a securities broker since October 6, 2016, and as a financial advisor since October 21, 2016. Keep reading to discover […]
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