Houston, TX – December 16, 2025 – Anthony (John) Pucci (CRD# 6120523), a registered securities broker with Craft Capital Management LLC, has three customer disputes disclosed on his FINRA BrokerCheck record. The allegations include unsuitable investments, breach of fiduciary duty, and breach of contract. This post reviews publicly available FINRA disclosure information and explains investor rights under securities laws.
BrokerCheck Snapshot
Name: Anthony John Robert Pucci
CRD #: 6120523
Firm: Craft Capital Management LLC
Location: Houston, TX
Years in Industry: 10
Number of Disclosures: 3
Customer Complaints Against Anthony Pucci
Complaint 1 – Pending (Filed September 2025)
Date Filed: September 9, 2025
Status: Pending
Allegations: Customers allege breach of fiduciary duty, unsuitable investments, material misrepresentations, material omissions, breach of FINRA rules, and breach of contract related to a private placement investment.
Product Type: Private Placement
Alleged Damages: Unspecified (estimated at $5,000 or more)
Forum: FINRA Arbitration, New York, NY
Docket Number: 25-01901
Firm Where Conduct Occurred: Aegis Capital Corp.
This matter remains pending. The customer’s allegations have not been proven or adjudicated.
Complaint 2 – Settled (February 2022)
Date Filed: January 2, 2020
Status: Settled
Settlement Amount: $18,755.69
Individual Contribution: $0.00
Allegations: Claimant alleged unsuitability, breach of contract, and breach of fiduciary duty.
Product Type: No specific product identified
Alleged Damages: $46,016.00
Forum: FINRA Arbitration, New York, NY
Docket Number: 20-00036
Firm Where Conduct Occurred: Aegis Capital Corp.
In his statement, Mr. Pucci denied the allegations, stating all investments were made with client consent and authorization, and all recommendations were suitable based on the client’s investment objectives and risk tolerance. He indicated he was not named as a respondent in the arbitration.
Complaint 3 – Settled (November 2019)
Date Filed: August 8, 2019
Status: Settled
Settlement Amount: $13,500.00
Individual Contribution: $0.00
Allegations: During the period of March 2017 through August 2018, the customer alleged unsuitable investments and strategy, breach of fiduciary duty, negligence, and breach of contract.
Product Type: Equity-OTC (Over-the-Counter stocks)
Alleged Damages: $32,885.16
Forum: FINRA Arbitration
Docket Number: 19-02250
Firm Where Conduct Occurred: Aegis Capital Corp.
Mr. Pucci stated in his response that he had not worked with the client for over a year prior to the complaint being filed, never lost her money, and never recommended investments that weren’t suitable based on her investment objectives and risk tolerance. He noted the client maintained her account with his former firm after his departure, and events thereafter were outside his control. He indicated he was not named as a respondent in the arbitration.
Pattern of Complaints / Risk Factors
While each case is unique, complaints of this type may indicate concerns related to unsuitable investment recommendations, inadequate risk disclosures, or material misrepresentations. Investors should carefully review account statements and seek legal guidance if similar issues occurred in their accounts.
Can Investors Recover Losses?
Investors who were recommended unsuitable or high-risk investments may be entitled to recover losses through FINRA arbitration. Patil Law, P.C. has over 15 years of experience representing investors in FINRA arbitration and securities litigation, with more than $25 million recovered for clients across 1,000+ cases. We provide a free, confidential consultation to review your potential claim. Our firm works on a contingency fee basis, meaning you pay no attorney fees unless we successfully recover money for you.
About FINRA Arbitration
FINRA arbitration is a streamlined dispute resolution process for securities-related claims. It offers a faster, more cost-effective alternative to traditional court litigation. Most cases are resolved within 12-16 months. Claims generally must be filed within six years of the incident.
Related Brokers and Firms
Anthony Pucci has been registered with Craft Capital Management LLC since August 2018. Prior to his current employment, he worked at Aegis Capital Corp., where the alleged misconduct reportedly occurred. Investors who experienced losses involving unsuitable investments, variable annuities, private placements, or other high-risk products may have legal recourse.
If you have concerns about broker misconduct or potential investment fraud, it is important to review your account statements and consult with experienced securities counsel.
Frequently Asked Questions
What is the complaint against Anthony Pucci?
Anthony Pucci has three customer disputes on his FINRA BrokerCheck record. Two complaints were settled in 2019 and 2022 for $13,500 and $18,755.69 respectively, involving allegations of unsuitable investments, breach of fiduciary duty, and breach of contract. A third complaint filed in September 2025 remains pending, alleging breach of fiduciary duty, unsuitable investments, material misrepresentations, and breach of contract related to private placement investments. All alleged conduct reportedly occurred while Mr. Pucci was with Aegis Capital Corp.
Can investors recover losses involving Craft Capital Management LLC?
Investors who suffered losses due to broker misconduct may be entitled to recover their investments through FINRA arbitration. While Mr. Pucci’s complaints relate to his time at Aegis Capital Corp., investors with concerns about any broker’s conduct should have their accounts reviewed by qualified securities counsel. Recovery options depend on the specific facts of each case and whether the alleged conduct violates securities laws or FINRA rules.
What is FINRA arbitration?
FINRA arbitration is a dispute resolution forum specifically designed for securities-related claims between investors and brokers or brokerage firms. It provides a more streamlined and cost-effective alternative to traditional court litigation. An arbitration panel, typically consisting of one or three arbitrators, hears evidence and renders a binding decision. Most FINRA arbitration cases are resolved within 12-16 months from filing.
What does “unsuitable investment” mean?
An unsuitable investment is one that does not align with an investor’s financial situation, investment objectives, risk tolerance, age, or investment experience. FINRA Rule 2111 requires brokers to have a reasonable basis to believe that a recommended investment or investment strategy is suitable for the customer. Factors considered include the customer’s age, financial status, tax status, investment objectives, investment experience, investment time horizon, liquidity needs, and risk tolerance. Unsuitable investment claims are among the most common allegations in securities arbitration.
How do I look up a broker on BrokerCheck?
To look up a broker on FINRA’s BrokerCheck system, visit brokercheck.finra.org and search by the broker’s name or CRD number. BrokerCheck provides detailed information about a broker’s employment history, professional qualifications, licenses, registrations, and any customer complaints, regulatory actions, or other disclosures. This free tool allows investors to research a broker’s background before doing business with them or to review the record of their current broker.
What should I do if I suspect broker misconduct?
If you suspect broker misconduct, take the following steps: First, gather and preserve all account statements, trade confirmations, correspondence, and other documentation related to your investments. Second, consider filing a written complaint with the brokerage firm’s compliance department. Third, contact FINRA or your state securities regulator to report the misconduct. Finally, consult with an experienced securities attorney to evaluate whether you have grounds for a FINRA arbitration claim. Do not delay, as securities claims are subject to time limitations, typically within six years of the investment.
About Patil Law, P.C.
Patil Law, P.C. is a securities litigation firm dedicated to representing investors who have suffered losses due to broker misconduct, unsuitable recommendations, and securities fraud. Founded in 2018 by attorney Chetan Patil, the firm focuses exclusively on FINRA arbitration and investment loss recovery.
With over 15 years of combined experience in securities law, Patil Law has successfully recovered more than $25 million for clients across 1,000+ cases. Attorney Chetan Patil earned his law degree from Case Western Reserve University School of Law. Attorneys Gabriela Dubrocq and Patricia Herrera earned their law degrees from University of Miami. The firm handles cases nationwide involving unauthorized trading, churning, unsuitable investments, breach of fiduciary duty, and failure to supervise.
Patil Law works on a contingency fee basis, meaning clients pay no attorney fees unless the firm successfully recovers money on their behalf. All consultations are free and confidential.
Contact Patil Law for a Free Consultation
If you have experienced investment losses involving Anthony Pucci, Craft Capital Management LLC, Aegis Capital Corp., or any other broker or firm, contact Patil Law, P.C. for a free, confidential consultation. Our experienced securities attorneys will review your case and explain your legal options.
Call us today at 800-950-6553 or email info@patillaw.com.
There is no obligation, and you pay nothing unless we recover money for you.
*The information in this post is based on FINRA BrokerCheck records and public filings. Allegations described are pending or unproven and may be contested. All investors are entitled to fair treatment under securities laws. This is attorney advertising. Prior results do not guarantee a similar outcome. This communication is for informational purposes only and does not create an attorney-client relationship.*
