May 2016-Boca Raton, FL
UPDATE NOVEMBER 2016-Gerald Cocuzzo pleads guilty to securities fraud. Link to US Attorneys office press release.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
According to FINRA records, Gerald J. Cocuzzo discloses:
- A pending criminal charge for Conspiracy to Commit Securities Fraud, Securities Fraud, Money Laundering Conspiracy and Conspiracy to Commit Wire Fraud. See this release dated May 3, 2016 from the US Attorney’s office for Eastern District of New York.
- 1 pending civil event-See this SEC Litigation Release announcing fraud charges against Cocuzzo.
- Seven prior settled customer complaints .
- Termination by Newbridge Securities in May 2016 after indictment from the US District Court for Eastern District of NY.
- Internal Revenue Service Lien of $226,387 for tax years 2011, 2012, 2013, filed in Palm Beach county courthouse.
According to FINRA records,Cocuzzo was registered with Newbridge Securities from 12/2014-5/2016. Prior to that he was registered with IAA Financial from 9/2009-1/2015.
If you have questions about an account handled by Gerald J. Cocuzzo contact us to discuss your options and to learn how you may be able to recover damages through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
Florida-561 391 1900