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Vincent Pucciarelli Barred by FINRA

Vincent Pucciarelli (CRD #: 2039846) has been barred by FINRA following his termination from Investment Network. This disclosure appears in his BrokerCheck record, accessed on September 7, 2023. Keep reading for more details. 

On August 9, 2023, Vincent Pucciarelli entered into an Acceptance, Waiver, and Consent agreement in which he consented to the findings that he refused to provide on-the-record testimony requested by FINRA. FINRA requested information in connection with an investigation into sales of pre-initial public offer (IPO) private placement offerings. Private placements are not registered with the SEC and expose investors to an elevated degree of risk and may be unsuitable investments for many investors. 

The bar began on August 9, 2023. You can read a copy of the bar here. 

FINRA Rule 8210

FINRA Rule 8210 requires members to supply records, information, and testimony upon request by FINRA.

Employment Termination 

On August 9, 2023, Investment Network fired Vincent Pucciarelli following allegations that he refused to provide on-the-record testimony for FINRA. 

Background Information 

Vincent Pucciarelli has passed the following exams: 

  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 

Vincent Pucciarelli has registered with the following firms: 

  • EDI Financial (CRD #: 15699) 
  • Colorado Financial Service Corporation (CRD #: 104343) 
  • Brookstone Securities (CRD #: 13366) 
  • Empire Financial Group (CRD #: 28759) 
  • American Investment Services (CRD #: 21111) 
  • Platinum Equities (CRD #: 36347) 
  • J.W. Barclay & Co. (CRD #: 23350) 

Kurta Law Can Help

If you worked with Vincent Pucciarelli 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 that exclusively represents investors against brokers and brokerage firms on a contingency basis. The firm only earns a fee if our securities attorneys recover money on your behalf.

 

 

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