Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Pucciarelli (Pucciarelli), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Pucciarelli recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $200,000.00 on February 11, 2021.
Claimant alleges, inter alia, unsuitability with respect to equity investment – Aug 2015 to Jul 2020