Category Archives: MWA Financial Services

Racine Broker Michael Cuccia Sanctioned by Securities Regulator

February 13, 2015-Racine, Wisconsin

Michael F. Cuccia  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he falsified documents, made loans to customers of his member firm, made false statements on a compliance form and failed to disclosed an outside business activity to his employing firm.

Cuccia was fined $15,000 and suspended from association with any FINRA member for 120 days.

FINRA Case # 2012033982401

FINRA records indicate that Cuccia is not currently registered. He was registered with MWA Financial Services from 7/2014-12/2014. Prior to that he was registered with Equity Services from 9/2001-2/2013.

Equity Services was formed in Vermont in 1968 and is registered in 51 U.S. States and territories. Their main office is in Montpelier, VT.

MWA Financial Services was formed in Illinois in 2001 and is registered in 51 U.S. States and territories. Their main office is located in Rock Island, Illinois.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

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