Victim of Financial Fraud? Call Now

Joseph Cucinotta Allegedly Electronically Signed on Behalf of Customers

Joseph Cucinotta (CRD #: 3272604) has been suspended by FINRA. This disclosure appears on his BrokerCheck record, accessed on May 14, 2024. Keep reading if you have questions regarding his alleged conduct. 

Regulatory Action

On March 12, 2024, Joseph Cucinotta entered into an Acceptance, Waiver, and Consent agreement (AWC) in which he consented to the findings that he falsified customer signatures on applications for fixed annuities by electronically signing customers’ names on applications. He allegedly did so without indicating in the applications that he was signing on the customer’s behalf. 

Terms of the AWC 

As part of the terms of the AWC, Joseph Cucinotta consented to a $5,000 fine and a one-month suspension. You can read a copy of the AWC here

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Signing on behalf of customers may violate this rule. 

Background Information 

Joseph Cucinotta has passed the following exams: 

  • Series 66 Uniform Combined State Law Examination
  • Series 65 Uniform Investment Adviser Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination
  • Series 52 Municipal Securities Representative Examination 

He is a registered broker in six states and is a registered investment adviser in Delaware, Florida, New Jersey, and Pennsylvania. 

During his 24 years of experience, Joseph Cucinotta has registered with the following six firms: 

  • Centaurus Financial (CRD #: 30833) 
  • Woodbury Financial Services (CRD #: 421) 
  • Questar Asset Management (CRD #: 133358) 
  • Questar Capital Corporation (CRD #: 43100) 
  • USAllianz Securities (CRD #: 40875) 
  • H&R Block Financial Advisors (CRD #: 5979) 

Kurta Law Can Help 

If you have worked with Jose Cucinotta and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that 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. Do not let securities fraud go unchecked. Start your recovery process today.

 

Loader Loading...
EAD Logo Taking too long?

Reload Reload document
| Open Open in new tab