Carl Ippolito Barred by FINRA

Carl Ippolito (CRD #: 4773246), a former broker, was barred by FINRA, according to his BrokerCheck record, accessed on April 25, 2022. If you have questions about Carl Ippolito’s conduct as a broker, keep reading.

Bar by FINRA

On January 11, 2022, FINRA temporarily suspended Carl Ippolito for failing to respond to requests for information. Following FINRA Rule 9552, this suspension automatically converted to a permanent bar on April 14, 2022.

FINRA Rule 9552

FINRA Rule 9552 describes the consequences for FINRA members who fail to maintain current records, provide information on request, or appear for testimony. Members are first temporarily suspended, and if they fail to request termination of their suspension, this becomes a permanent bar from associating with other FINRA members.

Discharge from Pruco Securities

On October 23, 2020, Carl Ippolito was fired from Pruco Securities following allegations he engaged in unauthorized outside business activities, made an unapproved and misleading social media post, and wrongfully claimed to hold titles that he did not hold.

Carl Ippolito’s detailed BrokerCheck report lists one business in the Other Business Activity section:

• The Knights of Columbus Council #10024, where he oversees inside and outside guards, checks memberships, and arranges council chambers for meetings.

Tax Liens

In 2015, Carl Ippolito was penalized with $31,285 in tax liens. He also faced $15,000 in civil liens in 2017. 

Background Information

Carl Ippolito has passed the following exams:

• Series 66 – Uniform Combined State Law Examination
• SIE – Securities Industry Essentials Examination
• Series 7 – General Securities Representative Examination

Previously, he worked for the following firms:

• Pruco Securities (CRD#:5685)
• Eagleview Securities (CRD#:170008)
• Ameriprise Financial Services (CRD#:6363)
• Ameriprise Advisor Services (CRD#:5979)

Kurta Law Can Help

If you worked with Carl Ippolito and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.