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Former Cambridge Investment Research Broker Charged with Felony

Former Cambridge Investment Research Broker Charged with Felony

Former Cambridge Investment Research Broker Charged with Felony 150 150 Rex Securities Law

August 19, 2015,

Francesco Puccio , entered into a Letter of Acceptance, Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he would not provide documents and information in connection with a FINRA investigation into allegations that he converted funds from a non-firm customer.

AWC  No. 2015046238101

Puccio was permanently barred from the securities industry. According to FINRA records, Puccio’s registration history includes the following:

  • Cambridge Investment Research                           1/2014-7/2015
  • Axa Advisors, LLC                                                             1/2011-1/2014
  • CCO Investment Services                                            8/2009-1/2011

FINRA records indicate that Puccio has been charged with second degree grand larceny in Wheatland Town Court, Monroe County, New York. If you suffered losses in an account handled by Puccio, call to speak with an experienced securities attorney to discuss your legal options.

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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Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

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