Eric John Vici of Melbourne Florida a stockbroker formerly registered with PFS Investments Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Vici hindered FINRA’s investigation into accusations of his misuse of customer funds. Letter of Acceptance Waiver and Consent No. 2021069176201 (May 14, 2021).

According to the AWC, on April 9, 2021, Vici was told that he had to testify for FINRA personnel about the allegations of his mishandling of a customer’s funds. FINRA’s investigation into Vici stemmed from a complaint which the executor of a customer’s estate filed.

The AWC stated that Vici reached out to FINRA on April 24, 2021 to relay that he would not testify in the investigation at any point. FINRA determined that Vici violated FINRA Rules 2010 and 8210 because of his failure to comply.

Vici was registered with PFS Investments Inc. between November 6, 2012 and October 17, 2019.

Tags: ,

Comments are closed.