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Former Financial Advisor Eric Vici Barred from the Securities Industry by FINRA – Melbourne, Florida
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker Eric Vici. from the securities industry. Mr. Vici was expelled from the brokerage industry for refusing to cooperate with a FINRA investigation that originated from a complaint made to FINRA by the executor of a customer’s estate about his handling of the customer’s funds.
Mr. Vici was registered with PFS Investments, Inc. in Melbourne, Florida, from November 2012 until October 2019. He has also been affiliated with Primerica Financial Services, an affiliate of PFS Investments.
If you have suffered financial losses investing with Eric John Vici, PFS Investments, Inc., or Primerica Financial Services, contact New York securities arbitration our law firm for a free and confidential review of your account.
Iorio Law PLLC represents investors nationwide that have disputes with their financial advisors or brokerage firms, such as PFS Investments, Inc. and Primerica Financial Services.
FINRA Letter of Acceptance, Waiver, and Consent No. 2021069176201
Eric John Vici (CRD No. 6114866) and FINRA entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) on May 14, 2021, after Mr. Vici refused to provide information and documents in connection with FINRA’s investigation. The investigation originated from a complaint made to FINRA by the executor of a customer’s estate about his handling of the customer’s funds.
On April 9, 2021, in connection with FINRA’s investigation, FINRA sent a letter to Mr. Vici requesting on-the-record testimony pursuant to FINRA Rule 8210. On April 24, 2021, Mr. Vici stated on a phone call that he would not provide the requested information or documents at any time.
By refusing to provide the information or documents, Mr. Dellaporta violated FINRA Rules 8210 and 2010.
Supervisory Duties
Brokerage firms like PFS Investments, Inc. and Primerica Financial Services must properly supervise financial advisors and customer accounts. Brokerage firms must also establish and maintain a reasonably designed system to oversee account activity to ensure compliance with securities laws and industry regulations. When a brokerage firm fails to sufficiently supervise its financial advisors or the investment account activity, it may be liable for investment losses sustained by customers.
How to Recover Financial Losses or Obtain a Free Consultation
If you have lost money with financial advisor Eric John Vici, PFS Investments, Inc., or Primerica Financial Services, contact New York securities arbitration attorney August Iorio of Iorio Law PLLC. August Iorio can be reached at info@iorio.law or toll-free at (646) 330-4624 for a free and confidential review of your legal rights.
About Iorio Law PLLC
Iorio Law PLLC is a securities arbitration law firm located in New York, NY. We represent investors nationwide and vigorously pursue FINRA arbitration claims on behalf of investors to recover investment losses.
We have over 15 years of experience as securities arbitration lawyers and have helped investors recover investment losses in over 800 cases. The firm will file a FINRA securities arbitration claim on your behalf on a contingency fee basis to try to recover your losses. If we do not obtain a recovery, you do not owe us a legal fee.
This blog was published by August Iorio when he was a Partner at his previous firm and has been updated to reflect Iorio Law PLLC’s new contact information. To evaluate any potential claims, contact securities arbitration lawyer August Iorio for a free consultation contact Iorio Law PLLC at info@iorio.law or (646) 330-4624.