Last Updated: September 2025 — New York, NY
Here’s what you need to know about New York, NY stockbroker Joseph C. Pullano:
- Name: Joseph C. Pullano.
- Current Employer: Not currently registered with a FINRA-member firm; most recently with Joseph Gunnar & Co. LLC (08/2012–06/2022).
- Prior Firms: Merrill Lynch, Pierce, Fenner & Smith Incorporated (02/2011–07/2012).
- Other Business Affiliations: Passive, non-voting membership interests with Buttonwood Select Opportunities Management Associates LLC and Buttonwood H1 Management Associates LLC (affiliated with JGUN/Buttonwood funds).
- CRD number: 4906906.
- Stockbroker / Financial Advisor: Formerly registered; not currently registered.
- Can Broker be Sued in FINRA: Yes — customers have filed FINRA arbitrations regarding his conduct at Joseph Gunnar & Co. LLC.
- Discloses Outstanding Liens: Yes — five outstanding tax liens (filed 2017–2020) including IRS liens of $53,033.78 (filed 01/31/2020) and $46,848.44 (filed 11/22/2019).
- Highest Award of Settlement: $650,000 to the customer (FINRA Case No. 22-02963; disposition 01/08/2024).
- Current Customer Dispute Seeks Total Damages of: None currently disclosed as pending; most recent matters show settled/awarded status in 2024.
If you’ve sustained damages from Mr. Pullano, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Joseph C. Pullano As Your Stockbroker?
- FINRA Arbitration — Case No. 22-02963 (filed December 27, 2022): Customer alleged recommendations inconsistent with stated objectives and goals in OTC equities while at Joseph Gunnar & Co. LLC; alleged damages $2,100,000. The matter resolved 01/08/2024 with an award/settlement of $650,000 (no individual contribution reported).
- FINRA Arbitration — Case No. 23-00185 (filed January 22, 2023): Customers alleged unsuitable investmentsin corporate debt and OTC equities; alleged damages $530,000; settled 05/21/2024 for $175,000 (no individual contribution reported).
Allegations of Broker Misconduct Against Joseph C. Pullano
- Unsuitable recommendations / failure to align with client objectives — potential violations of FINRA Rule 2111 (Suitability) based on allegations that recommendations were inconsistent with the customers’ goals and risk tolerance.
- Failure to act in the customer’s best interest — for retail recommendations made after June 30, 2020, alleged conduct may implicate SEC Regulation Best Interest (Exchange Act Rule 15l-1) in addition to suitability. (Inference drawn from the nature and dates of the complaints.)
Recover Your Investment Losses Now With Rex Securities Law
Our Investigations of other Joseph Gunnar brokers
If you have suffered investment losses in an account handled by Joseph C. Pullano, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis, meaning that you do not pay legal fees unless we are successful.