Craft Capital Management LLC Tag Archives

Broker Anthony Pucci in Craft Capital Management LLC Firm Has Customer Complaint

November 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Pucci (Pucci), currently associated with Craft Capital Management LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pucci recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on September 10, 2025.

Time frame: Unspecified. Customers allege breach of fiduciary duty, unsuitable investments, material misrepresentations, material omissions, breach of FINRA rules and breach of contract on the part of Registered Representative in relation to the customers investments.

Broker Kevin Springstead in Craft Capital Management LLC Firm Has Customer Complaint

August 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Springstead (Springstead), previously associated with Craft Capital Management LLC, has at least one disclosable event. These events include one regulatory event, alleging that Springstead recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on September 12, 2023.

Respondent Springstead failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

There are Recent Customer Complaints with Broker Norbert Kozma in Firm Craft Capital Management LLC

February 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Norbert Kozma (Kozma), currently associated with Craft Capital Management LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kozma recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $65,000.00 on November 18, 2024.

Oct 2024 Previous employee firm I-Bankers received a written customer complaint against Mr. Kozma alleging Unsuitable recommendations in listed equities. I-Bankers found after investigating that the complaint was without merit as presented on his U5 submission at the end of Oct 2024.

There are Recent Customer Complaints with Broker Troy Orlando in Firm Craft Capital Management LLC

February 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Troy Orlando (Orlando), previously associated with Craft Capital Management LLC, has at least 3 disclosable events. These events include 3 regulatory, alleging that Orlando recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on November 20, 2024.

Without admitting or denying the findings, Orlando consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA in connection with an examination of his member firm and a resulting investigation into the suitability of certain recommendations at it.