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.
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.
Florida-561 391 1900