Last Updated: August 2025 (Dallas-Fort Worth, TX )
Louie Ucciferri Investigation Summary
Here’s what you need to know about Dallas-Fort Worth, TX , stockbroker Louie Ucciferri:
- Name: Mr. Louie NMN Ucciferri
- Current Employers: Lightpath Capital Inc., Edgeline Capital, Camden Financial Services
- Previous Firms: CFI Securities, Intergrated Trading and Investments, Regent Capital Group, Amerivet Securities
- Function: Stock Broker/ Financial Advisor
- Aliases: Louie Ucciferri
- Primary Location: Dallas-Fort Worth, Texas
- CRD 1156956
- Can Louie Ucciferri be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Two Customer Disputes Settled $130k & $379K
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Louie Ucciferri As Your Stockbroker?
Louie Ucciferri discloses settlement of two FINRA arbitrations filed by customers of Lightpath Capital Inc. alleging that private placements they were sold violated California and federal laws and were fraudulent business practices. The suits , which involved NP Skyloft DST, were settled for $139K and $379K.
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Allegations of Broker Misconduct Against Louie Ucciferri
Customers of Louie Ucciferri alleged the following wrongdoing in connection with the handling of customer accounts:
- Violation of California securities laws
- Violation of Federal securities laws
- Fraudulent Business Practices
- Breach of Contract
- Common Law Fraud
- Breach of Fiduciary Duty
- Negligence
- Gross Negligence
Alternative Investments: These are assets that are not stocks, bonds or cash. Alternative investments generally fall within five categories: hedge funds, private capital, natural resources (oil and gas, energy), real estate (REITs) and infrastructure. They are typically less liquid that conventional investments, less regulated with higher fees and generally higher risk.
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.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Louie Ucciferri, 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.