National investment loss lawyers KlaymanToskes reports broker Vincent Pucciarelli (CRD# 2039846) has been permanently barred from acting as a broker or associating with a broker-dealer firm by the Financial Industry Regulatory Authority (“FINRA”).
According to FINRA BrokerCheck, Vincent Pucciarelli was previously registered with Investment Network, Inc. from 2017 to 2023 in Woodbridge, NJ. FINRA’s decision comes after Pucciarelli refused to appear for on-the-record testimony as part of the regulator’s investigation into whether he engaged in sales of “pre-IPO” private placement offerings.
Investors that suffered losses with Vincent Pucciarelli may be entitled to a financial recovery. Contact Lawrence L. Klayman, Esq. immediately at (888) 997-9956 or lawrence@klaymantoskes.com to discuss your recovery options. We do not collect attorney’s fees unless we obtain a financial recovery for you.
FINRA’s Department of Enforcement entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) with Vincent Pucciarelli, disclosing that he consented to sanctions of a permanent bar from associating with any FINRA member in all capacities.
According to the AWC, FINRA was investigating sales of “pre-IPO” private placement offerings, and sent Pucciarelli a request for on-the-record testimony pursuant to FINRA Rule 8210. Pucciarelli acknowledged that he received FINRA’s request and will not be appearing for on-the-record testimony at any time.
By refusing to appear for on-the-record testimony as requested pursuant to FINRA Rule 8210, Vincent Pucciarelli violated FINRA Rules 8210 and 2010. Under FINRA Rule 8210, all brokerage firms and registered financial professionals are required to provide information, documents, and testimony upon regulators’ requests.
A violation of FINRA Rule 8210 is also a violation of FINRA Rule 2010, which requires brokerage firms and their registered representatives to “observe high standards of commercial honor and just and equitable principles of trade.”
If you suffered losses with Vincent Pucciarelli at Investment Network, Inc., contact our firm immediately to discuss recovery options at 888-997-9956 or on the web at www.klaymantoskes.com.
KlaymanToskes is a leading national securities law firm which practices exclusively in the field of securities arbitration on behalf of retail and institutional investors throughout the world in large and complex securities matters. The firm has recovered over $250 million in FINRA arbitrations and over $350 million in other securities litigation matters. KlaymanToskes has office locations in California, Florida, New York, and Puerto Rico.
KlaymanToskes, P.A.
Lawrence L. Klayman, Esq.
888-997-9956
lawrence@klaymantoskes.com
www.klaymantoskes.com