Gerald John Cocuzzo (CRD #4047511) Has Regulatory Action, Customer Dispute, Criminal, and Judgment/Lien Disclosures on FINRA BrokerCheck
Gerald John Cocuzzo (CRD #4047511) has been the subject of disclosure events, which have recently been reported on his FINRA BrokerCheck Report. According to Gerald John Cocuzzo’s FINRA BrokerCheck Report accessed on January 18, 2026, he has been the subject of four regulatory events, ten customer dispute disclosures, two criminal disclosures, one employment separation disclosure, and one judgment/lien disclosure. If you invested with Gerald John Cocuzzo and you have concerns about his activity, keep reading.
BrokerCheck link: BrokerCheck
BrokerCheck Report (PDF): BrokerCheck Report (PDF)
Regulatory Action(s)
According to his BrokerCheck report, accessed on January 18, 2026, Gerald Cocuzzo has been the subject of four regulatory disclosure events.
Gerald Cocuzzo’s FINRA BrokerCheck Report reflects that on November 24, 2025, FINRA initiated a regulatory action alleging that he failed to comply with an arbitration award or settlement agreement, or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance. FINRA suspended him in all capacities starting November 24, 2025, with the suspension listed as indefinite. The related Award is available online.
The report also reflects that on April 19, 2024, FINRA initiated a similar action alleging a failure to comply with an arbitration award or settlement agreement, or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance. FINRA suspended him in all capacities beginning April 19, 2024, and the suspension was lifted on June 20, 2024. The related Award is available online.
Two additional regulatory events are also reported on Gerald Cocuzzo’s FINRA BrokerCheck Report.
Employment Separation After Allegations
According to his BrokerCheck report, accessed on January 18, 2026, Gerald Cocuzzo has been the subject of one employment separation disclosure event.
Gerald Cocuzzo’s FINRA BrokerCheck Report reflects that on May 3, 2016, Newbridge Securities Corporation discharged him after he was indicted by the U.S. District Court for the Eastern District of New York.
Investor Disputes / Customer Complaints
According to his BrokerCheck report, accessed on January 18, 2026, Gerald Cocuzzo has been the subject of ten customer dispute disclosure events.
Gerald Cocuzzo’s FINRA BrokerCheck Report reflects that on February 11, 2020, a customer alleged that Gerald Cocuzzo engaged in overconcentration and made unsuitable investment recommendations. The customer sought $208,287.00 in damages in connection with listed equity securities. The matter settled on March 10, 2022 for $99,999.99.
The report also reflects that on December 8, 2016, a customer complained about the purchase of a secondary offering in Forcefield Energy Corp and later alleged the investment was a fraudulent offering. The customer sought $52,000.00 in damages in connection with a private placement. The matter settled on December 12, 2017 for $24,999.00.
Eight additional customer dispute disclosures are also reported on Gerald Cocuzzo’s FINRA BrokerCheck Report.
Criminal Charges
According to his BrokerCheck report, accessed on January 18, 2026, Gerald Cocuzzo has been the subject of two criminal disclosure events.
Gerald Cocuzzo’s FINRA BrokerCheck Report reflects that on May 2, 2016, formal criminal charges were brought in federal court in the U.S. District Court for the Eastern District of New York (Case No. 16-cr-00234), including conspiracy to commit securities fraud, conspiracy to commit wire fraud, and money laundering conspiracy. The report reflects that several charges were dismissed, and also reflects a guilty plea to securities fraud. BrokerCheck further reflects a sentence of 18 months’ imprisonment, followed by one year of supervised release.
The report also reflects that on October 7, 1999, Gerald Cocuzzo was charged in the Criminal Court of the City of New York (Kings County) under sections of New York penal law. According to the broker statement reported on BrokerCheck, police alleged he possessed a controlled substance, the substance later turned out to be false, and the charges were dropped except for a disorderly conduct charge. The report reflects that he pled to disorderly conduct and received a conditional discharge and a $45.00 fine.
Judgment / Lien
According to his BrokerCheck report, accessed on January 18, 2026, Gerald Cocuzzo has been the subject of one judgment/lien disclosure event.
Gerald Cocuzzo’s FINRA BrokerCheck Report reflects that on August 26, 2014, a tax lien in the amount of $226,387.62 was filed in federal court and is listed as outstanding. BrokerCheck also reflects a broker statement indicating he entered into an installment agreement with the IRS for $500.00 per month.
Rule summary #1: FINRA Rule 9554 (Failure to Comply with an Arbitration Award or Related Settlement)
FINRA Rule 9554 provides expedited procedures that may result in a suspension or cancellation when a member or associated person fails to comply with a FINRA arbitration award or a settlement agreement related to an arbitration or mediation.
Rule summary #2: FINRA Rule 8210
FINRA Rule 8210 authorizes FINRA to obtain information and testimony, and to inspect and copy books and records, for the purpose of an investigation, complaint, examination, or proceeding. Failure to comply with a request made under Rule 8210 can lead to disciplinary action.
Why this Matters to Investors (Regulation Best Interest)
Regulation Best Interest (Reg BI) is a U.S. securities regulation designed to strengthen the standard of conduct that broker-dealers owe to retail investors when making recommendations about securities transactions or investment strategies. Adopted by the U.S. Securities and Exchange Commission and effective as of June 30, 2020, Reg BI aims to enhance investor protection while preserving investor access to brokerage products and services.
Reg BI requires broker-dealers and financial advisors to act in the best interest of the retail customer at the time a recommendation is made, and not to place their own financial or other interests ahead of the customer’s. This represents a higher standard than the historical “suitability” requirement, which only required that recommendations be suitable, not necessarily optimal or conflict-free.
Reg BI is built around four key obligations:
- Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and recommendations, including fees, scope of services, and conflicts of interest.
- Care Obligation – Recommendations must be made with reasonable diligence, care, and skill, considering costs, risks, and alternatives.
- Conflict of Interest Obligation – Firms must identify, disclose, and mitigate or eliminate conflicts, particularly those that create incentives to favor one product over another.
- Compliance Obligation – Firms must establish policies and procedures designed to ensure compliance with Reg BI as a whole.
Importantly, Reg BI applies at the recommendation level, not as a continuous duty like the fiduciary standard applicable to registered investment advisers. Still, it significantly narrows the gap by emphasizing cost considerations, conflict management, and investor-focused decision-making.
Overall, Regulation Best Interest seeks to promote transparency, improve the quality of investment recommendations, and reinforce trust between retail investors and broker-dealers in the U.S. securities markets.
Background Information (from BrokerCheck)
Based on his BrokerCheck Report, Gerald Cocuzzo:
- Is not currently registered with any broker-dealer, and his BrokerCheck Report reflects that the U.S. Securities and Exchange Commission (SEC) has barred him.
- Has passed the Securities Industry Essentials (SIE), Series 7, and Series 63 exams.
- Was previously registered with firms that include Newbridge Securities Corporation and IAA Financial LLC.
Kurta Law Can Help
If you have worked with Gerald Cocuzzo and you have concerns about his activity, Kurta Law may be able to help you evaluate potential recovery options. You may be entitled to pursue a claim through FINRA arbitration, depending on the facts of your situation and the investments involved. Contact Kurta Law at 877-600-0098 or info@kurtalawfirm.com for a free consultation.
Helpful resources: FINRA Arbitration Rules | Securities Fraud
For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable—because investors should not have to sit quietly while alleged misconduct and securities fraud go unchecked. Start your recovery process today.