FINRA is seeking a judgement against Daniel Arcuri Jr. after he failed to appear and testify in connection with an investigation into his conduct.
The Sonn Law Group is investigating allegations that Daniel Arcuri Jr. committed misconduct. Under FINRA Rules, brokerage firms are liable for their brokers’ misconduct or negligence and investors may be able to their investment through FINRA arbitration. Contact Sonn Law Group today or call us at 866–827–3202 for a free consultation.
Daniel Arcuri Jr. (CRD#:2200431) was named a respondent in a FINRA complaint alleging he failed to appear and testify as requested by FINRA in connection with an investigation into his potential misuse of customer funds and undisclosed outside business activities related to a client’s estate.
FINRA’s investigation began following Arcuri’s termination from Thrivent Investment Management in December 2017. Thrivent alleged that Arcuri failed to seek and obtain firm approval to engage in an outside business activity as the representative of the estate of a deceased client.
FINRA’s complaint references multiple occasions that Arcuri failed to comply with requests for information by FINRA. Relief requested is for Arcuri to be barred from the securities industry, and that he bear the costs of proceeding with the court action.
Jeffrey R. Sonn is an experienced investor losses attorney. If you suffered losses because a financial professional committed acts in violation of FINRA Rules, Mr. Sonn will protect your rights and interests. Please do not hesitate to contact the Sonn Law Group today for a free review of your claim.