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FINRA Suspends Jack Fascitelli

Jul 27, 2022 FINRA Suspension

Jack Fascitelli (CRD #: 7337044), a broker formerly registered with LEX, has been suspended by FINRA, according to his BrokerCheck record, accessed on July 14, 2022. Read on if you want to know more about Jack Fascitelli’s conduct as a broker.

FINRA Suspension

On June 7, 2022, FINRA sent Jack Fascitelli a Notice of Suspension following his alleged failure to respond to requests for information. He was indefinitely suspended in all capacities starting on July 1, 2022, and this will continue until FINRA receives the requested information or the suspension converts to a bar.

FINRA Rule 9552

FINRA Rule 9552 penalizes brokers who fail to provide information, documents, or testimony upon request by FINRA. Brokers are first suspended for three months, during which time they can request an end to their suspension, and then the suspension converts to a permanent bar.

Resignation from LEX

On May 3, 2022, Jack Fascitelli resigned from LEX after a testing center administrator alleged that he used study materials during his Series 79TO exam.

Background Information

Jack Fascitelli has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • Series 79TO – Investment Banking Registered Representative Examination
  • SIE – Securities Industry Essentials Examination

He previously worked for LEX (CRD#: 304601).

Kurta Law Can Help

If you worked with Jack Fascitelli 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.