Josh Puccini is Facing Investor Allegations

Josh Puccini (CRD #: 6343689), a broker registered with Northwestern Mutual Investment Services, is the subject of an investor dispute. This disclosure appears on his BrokerCheck record, accessed on March 1, 2024. Keep reading if you have questions about his alleged conduct. 

Investor Allegations 

On November 20, 2023, an investor alleged that Josh Puccini recommended that she sell securities in her E*Trade account, resulting in tax implications. The investor is seeking $100,000. 

FINRA Rule 2111 – Unsuitable Investments 

FINRA Rule 2111 defines suitable investments as securities that fit an investor’s profile. Investor profiles have information on the investor’s age, risk tolerance, tax status, investing experience, and financial goals. Investments that do not take these factors into account may be unsuitable. 

High Standards of Commercial Honor

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Securities fraud violates FINRA Rule 2010

Background Information 

Josh Puccini has passed the following exams: 

• 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 6 Investment Company Products / Variable Contracts Representative Examination 

He is a registered broker in 26 states and is a registered investment adviser in Illinois. 

Josh Puccini has registered with three firms in his five years of experience: 

• Northwestern Mutual Investment Services (CRD #: 2881) 
• Advised Assets Group (CRD #: 112058) 
• GWFS Equities (CRD #: 13109) 

Kurta Law Can Help 

If you have worked with Josh Puccini and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or 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.