Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Neil Auricchio (Auricchio), previously associated with Joseph Stone Capital L.l.c., has at least one disclosable event. These events include one customer complaint, alleging that Auricchio 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 $75,000.00 on January 12, 2022.
Alleged violations of state and federal securities laws including alleged excessive and unsuitable trading.