DANIEL JOSEPH ARCURI, JR
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/07/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DANIEL J. ARCURI, JR. (CRD No. 2200431), Respondent. Disciplinary Proceeding No. 2017056688202 Hearing Officer-DW DEFAULT DECISION February 7, 2020 For twice failing to appear and provide on-the-record testimony during an investigation as required by FINRA Rule 8210, Respondent is barred from associating with any FINRA member in any capacity. Appearances For the Complainant: Elson Ho, Esq., Eric Hansen, Esq., and Richard Chin, Esq., Department
10/22/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Daniel J. Arcuri, Jr. (CRD No. 2200431), Respondent. DISCIPLINARY PROCEEDING NO. 2017056688202 Hearing Officer: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In January 2018, FINRA opened an investigation into Daniel J. Arcuri, Jr.'s ("Arcuri" or "Respondent") potential misuse of customer funds and undisclosed outside business
Reference 2017056688202data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2200431 |
Other names1
Also known as1
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