The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that broker Christian Frank Lucchetto (Lucchetto), currently employed by Arive Capital Markets has been subject to at least one regulatory action and one criminal action during the course of his career.
In January 2021, Lucchetto faced a regulatory action commenced by FINRA. Lucchetto consented to the entry of findings that he engaged in unsuitability and excessive trading in his customer’s account. The sanctions included $5,000 in civil penalties and administrative fines, as well as $30,454.86 in restitution. Additionally, FINRA suspended Lucchetto in all capacities from February 2021 through May 2021.