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FINRA Suspends Michael Cutrone for Alleged Failure to Respond to Information Requests

Michael Cutrone (CRD #: 7120143), a broker formerly registered with Neuberger Berman BD, has been suspended by FINRA, according to his BrokerCheck record, accessed on April 19, 2023. If you have questions about his alleged conduct as a broker, keep reading.

FINRA Suspension

On February 22, 2023, Michael Cutrone received a Letter of Suspension alleging that he failed to respond to FINRA requests for information.

His suspension took effect on March 20, 2023, and will continue until FINRA receives the requested information or it converts to a bar.

FINRA Rule 9552

FINRA Rule 9552 states that members who fail to provide documents, information, or testimony requested by FINRA will be suspended. Members who fail to request an end to their suspension within three months become permanently barred.

Pending Criminal Charges

On June 29, 2022, four pending criminal charges were filed against Michael Cutrone.

Background Information

Michael Cutrone has passed the following exams:

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

He previously worked for Neuberger Berman BD (CRD#:2908).

Kurta Law Can Help

If you worked with Michael Cutrone 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.