RICHARD PETER PASCUCCI

11/08/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. RICHARD PETER PASCUCCI (CRD No. 4819805), Respondent. DISCIPLINARY PROCEEDING No. 2010025751301 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From in or about May 2009 through June 2010, Respondent Richard Peter Pascucci ("Respondent" or "Pascucci") converted a total of $261,000 from two customers by obtaining from them checks payable to him on the false representation and pretense

04/13/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. RICHARD PETER PASCUCCI (CRD No. 4819805), Respondent. Disciplinary Proceeding No. 2010025751301 Hearing Officer-LOM DEFAULT DECISION April 13, 2012 Respondent is barred from associating with any FINRA member in any capacity for conversion of customer funds in violation of NASD Rule 2330(a), and FINRA Rules 2150(a) and 2010. Respondent also is barred from association with any FINRA member firm in any

Reference 2010025751301data-portal.finra.orgfinra.orgdata-portal.finra.org