Francesco Puccio—Failure to Provide Documents, Customer Fund Conversion

Francesco Puccio Allegedly Converted Funds from a Non-firm Customer Francesco Puccio, of AXA Advisors and Cambridge Investment Research, allegedly converted funds from a non-firm customer, according to a recent FINRA Letter of Acceptance, Waiver and Consent. Francesco Puccio, the AWC reports, was a financial advisor and registered representative of Cambridge Investment Research from January 2014… Read more »