VINCENT PUCCIARELLI, JR
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/09/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074096802 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Vincent Pucciarelli (Respondent) General Securities Representative CRD No. 2039846 Pursuant to FINRA Rule 9216, Respondent Vincent Pucciarelli submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.
Reference 2022074096802data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2039846 |
Other names1
Also known as1
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