Francesco Puccio and AXA Advisors

Have you lost money with financial advisor Francesco Puccio of Pittsford, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Francesco Puccio. FINRA barred Puccio from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Puccio regarding allegations that he converted or stole money from a “non-customer”.

Francesco Puccio was a financial advisor and registered representative of Cambridge Investment Research from January 2014 to July 2015.  He was also an advisor with AXA Advisors from January 2011 to January 2014.  He worked at branch offices in Pittsford, New York.

Brokerage firms like AXA Advisors have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado and the Seattle area.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in New York. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including AXA Advisors, LPL Financial, Merrill Lynch, Morgan Stanley, Smith Barney, Stifel Nicolaus & Company, UBS Financial Services, Oppenheimer, Charles Schwab, Wells Fargo Advisors, Ameriprise Financial Services, Raymond Francesco, ProEquities, Securities America, National Securities Corp., and many others.

If you lost money with Francesco Puccio or AXA Advisors, please Contact Us at 720-599-3505 for a free evaluation of your case.

Click to view:  Puccio FINRA AWC

Click to view:  Puccio BrokerCheck 8.19.15