Eric Ryan Tartaglione, of Woodbridge, New Jersey, a stockbroker registered with Investment Network Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Tartaglione failed to testify during the time that FINRA investigated the stockbroker for possible violations of FINRA rules during the time that he was associated with Investment Network Inc. Letter of Acceptance, Waiver, and Consent No. 2022074096801 (July 21, 2023).
According to the AWC, on May 9, 2023, FINRA asked him to testify as part of their investigation into the sales of pre-IPO private investment offerings. However, as confirmed by Tartaglione’s lawyer during a phone call with FINRA on June 22, 2023, Tartaglione accepted that he got the request from FINRA but he would not be giving any formal statement. By doing so, Tartaglione violated FINRA’s Rules 8210 and 2010.
Tartaglione was registered with Investment Network Inc. as a stockbroker from January 4, 2017, to July 21, 2023
