Francesco Puccio (Francesco Puccio) Barred from Securities Industry and Fired by Cambridge Investment Research, Inc. -- Goodman & Nekvasil P.A, May Recover Investor Losses

Goodman & Nekvasil P.A, May Recover Investor Losses - Francesco Puccio Barred from Securities Industry and Fired by Cambridge Investment Research, Inc.

From 2014 until Francesco Puccio’s firing in 2015, Francesco Puccio was licensed with Cambridge Investment Research, Inc. Francesco Puccio was previously licensed with AXA Advisors, LLC. According to FINRA records, Francesco Puccio was fired on July 17, 2015. Cambridge Investment Research, Inc. reported to FINRA that Francesco Puccio was fired after Francesco Puccio was alleged to have engaged in criminal activity regarding the wrongful taking of property.

Subsequent to Francesco Puccio’s firing, FINRA brought a disciplinary action against Francesco Puccio in 2015. Francesco Puccio consented to a bar from the securities industry. FINRA reports that Francesco Puccio consented to the entry of findings that Francesco Puccio failed to provide documents and information requested by FINRA in connection with an investigation into allegations that Francesco Puccio converted funds from a non-firm customer.

FINRA reports that Francesco Puccio has two pending criminal charges in the Wheatland Town Court in Monroe County, NY. Francesco Puccio has been charged with Fourth Degree Conspiracy, and Second Degree Grand Larceny.

If you lost any money on investments with Francesco Puccio, you may be able to recover your losses from Cambridge Investment Research, Inc and/or AXA Advisors, LLC. This is because Cambridge Investment Research, Inc. and AXA Advisors, LLC had a duty to supervise Francesco Puccio.

If you lost money on investments with Francesco Puccio, and believe that the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against Cambridge Investment Research, Inc. and/or AXA Advisors, LLC, concerning Francesco Puccio’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.

Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $170 million on behalf of victimized investors. If you lost money on any investments with Francesco Puccio and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.   

 

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