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Robert Cuculich Named in SEC Investigation

Feb 15, 2023 SEC Investigation

Robert Cuculich (CRD #: 706353), a broker registered with Pinnacle Investments, was recently involved in an SEC investigation, according to his BrokerCheck record, accessed on February 8, 2023. If you have questions about his alleged conduct as a broker, keep reading.

SEC Investigation

On November 9, 2022, the Securities and Exchange Commission made a preliminary determination that would name Robert Cuculich in allegations that he aided and abetted violations of Rules 22e-4(b)(1) and 30b1-10 of the Investment Company Act of 1940.

Investment Company Act of 1940

Section 22e-4(b)(1) of the Investment Company Act describes what elements are required to be included in the policies and procedures of the liquidity risk management programs of investment funds, including exchange-traded funds.

Section 30b1-10 requires all registered open-end and closed-end management investment companies (excluding money market funds) to file Form N-RN reports with the SEC. These reports describe the liquidity of these companies’ investments.

Background Information

Robert Cuculich has passed the following exams:

  • 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
  • Series 52 – Municipal Securities Representative Examination
  • Series 53 – Municipal Securities Principal Examination
  • Series 24 – General Securities Principal Examination

Robert Cuculich is a registered broker in 24 states and a registered investment adviser in New York.

He has also worked for Cadaret, Grant & Company (CRD#:10641) and Flagship Securities (CRD#:7123).

Kurta Law Can Help

If you worked with Robert Cuculich and you have concerns about your investments, please contact us today at 877-600-0098 or 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.