Vincent Pucciarelli Jr. (also known as Vincent Puccarelli), 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 Pucciarelli failed to testify during the time that FINRA investigated the stockbroker for possible violations of FINRA rules. Letter of Acceptance, Waiver, and Consent No. 2022074096802 (August 9, 2023).
On June 21, 2023, FINRA initiated an inquiry into the sales of pre-IPO private placement offerings. As part of this investigation, they reached out to Pucciarelli seeking recorded testimony from him. However, Pucciarelli, in his email response to FINRA on July 21, 2023, confirmed that he had received the request but would not be testifying at any given point. By opting not to appear for testimony in line with FINRA’s request, Pucciarelli was found to have violated FINRA Rules 2010 and 8210.
Pucciarelli was associated with Investment Network Inc. as a stockbroker from January 4, 2017, to August 9, 2023.