Did you lose money investing with Denise Bucci (a/k/a Denise Gross) (CRD# 1195774)?
Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Denise Bucci (a/k/a Denise Gross). If you suffered losses investing with Denise Bucci (a/k/a Denise Gross), then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
If you suffered losses and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
As of September 29, 2020, Denise Bucci (a/k/a Denise Gross)’s FINRA BrokerCheck Report contains the following:
Disclosure Events
1 Regulatory Event(s)
See FINRA Letter of Acceptance, Waiver and Consent No. 2017055313301
1 Employment Separation After Allegations
2 Financial Disclosure(s)
UPDATE 9/29/2020: According to FINRA’s June 2019 Disciplinary Actions: “Denise Marie Bucci (CRD #1195774, Flourtown, Pennsylvania) April 11, 2019 – An AWC was issued in which Bucci was assessed a deferred fine of $7,500 and suspended from association with any FINRA member in all capacities for one year. Without admitting or denying the findings, Bucci consented to the sanctions and to the entry of findings that she forged her branch manager’s signature on customer account documents and falsified signatures of her member firm’s clients by photocopying signatures from previously signed forms and pasting them onto new ones. The findings stated that Bucci’s forgeries and falsifications were accommodations to customers regarding transactions they had previously authorized or on forms that they ultimately signed and did not result in customer harm. Moreover, Bucci did not benefit financially from her misconduct. The findings also stated that Bucci caused her firm to maintain inaccurate books and records by forging the signature of her branch manager and falsifying the signatures of firm customers on account-related documents. The suspension is in effect from April 15, 2019, through April 14, 2020. (FINRA Case #2017055313301)
Current and Previous Registrations
09/12/2013 – 08/17/2017 RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694) CONSHOHOCKEN, PA
07/08/2011 – 09/16/2013 WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025) CONSHOHOCKEN, PA
11/30/2000 – 07/08/2011 WELLS FARGO ADVISORS, LLC (CRD#:19616) CONSHOHOCKEN, PA
03/24/2000 – 11/29/2000 GRUNTAL & CO., L.L.C. (CRD#:372) NEW YORK, NY
10/01/1999 – 03/13/2000 FIRST UNION SECURITIES, INC. (CRD#:19616) ST. LOUIS, MO
10/07/1998 – 10/01/1999 FIRST UNION CAPITAL MARKETS CORP. (CRD#:6124) CHARLOTTE, NC
09/30/1996 – 09/16/1998 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
If you suffered losses and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
Due Diligence Requirement
FINRA requires broker’s to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. FINRA Rule 2111(a) states that “a member or an associated person must have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer, based on the information obtained through the reasonable diligence of the member or associated person to ascertain the customer’s investment profile. A customer’s investment profile includes, but is not limited to, the customer’s age, other investments, financial situation and needs, tax status, investment objectives, investment experience, investment time horizon, liquidity needs, risk tolerance, and any other information the customer may disclose to the member or associated person in connection with such recommendation.”
Rule 2111 is composed of three main obligations: reasonable-basis suitability, customer-specific suitability, and quantitative suitability. Brokers and the brokerage firms they work for that fail to conduct adequate due diligence on investments they recommend or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
Request a Free Consultation with a Securities Attorney
If you suffered losses investing with Denise Bucci (a/k/a Denise Gross) and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
This information is all publicly available and is being provided to you by Galvin Legal, PLLC.
Galvin Legal, PLLC is a national securities arbitration, securities mediation, securities litigation, securities fraud, securities regulation and compliance, and investor protection law practice. For more information on Galvin Legal, PLLC and its representation of investors, please visit www.galvinlegal.com or call 1-800-405-5117.
