Please note: The article in question references “Joseph Pullano” and includes details about complaints and disciplinary actions. While the name matches, Joseph Pullano, He is different than Joseph Pullano in Canada. That Joseph is am based in Toronto, Ontario, where he provides financial planning and retirement plans for lawyers in Canada. He is also registered in the State of New York through his RIA, iA Private Wealth USA.
Haselkorn & Thibaut, a national investment fraud law firm with over 50 years of experience and a 98% success rate, has announced an investigation into Joseph C. Pullano, formerly a registered representative with Joseph Gunnar & Co. LLC in New York, NY. If you worked with Joseph Pullano, it’s essential to understand the latest findings, customer complaints, and what actions you can take if you experienced investment losses.
Background: Who Is Joseph C. Pullano?
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| Full Name: | Joseph C. Pullano |
| CRD Number: | 4906906 |
| City & State: | New York, NY |
| Recent Broker-Dealer: | Joseph Gunnar & Co. LLC (2012–2022) |
| Previous Employment: | Merrill Lynch, Pierce, Fenner & Smith (2011–2012) |
| Current Status: | Not currently registered with a FINRA-member firm |
Joseph C. Pullano was registered as a broker and financial advisor for more than a decade, most recently with Joseph Gunnar & Co. LLC until June 2022. He is not presently affiliated with any FINRA-member firm, but past activities remain subject to review and potential claims. For the most current registration and background, you can check FINRA BrokerCheck.
Key Findings From the Haselkorn & Thibaut Investigation
- Joseph C. Pullano has been the subject of customer-initiated arbitration claims over investment recommendations made at Joseph Gunnar & Co. LLC.
- Multiple customer complaints allege that recommendations were inconsistent with client objectives and risk tolerance, particularly in over-the-counter (OTC) equities and corporate debt products.
- Significant financial settlements and awards have resulted from these complaints, including a $650,000 award in one recent FINRA arbitration.
- Pullano currently has five outstanding tax liens filed between 2017 and 2020, with the largest exceeding $53,000—this may indicate potential personal financial stress.
Joseph C. Pullano: Detailed List of Customer Complaints & Arbitration Claims
Understanding the specific complaints and arbitration history is crucial for investors evaluating their own experiences. Here’s an overview of the most recent cases:
| FINRA Case No. | Filing Date | Product/Issue | Alleged Damages | Outcome |
|---|---|---|---|---|
| 22-02963 | Dec 27, 2022 | OTC Equities – Unsuitable recommendations inconsistent with client’s stated objectives | $2,100,000 | Settled/Awarded $650,000 (Jan 8, 2024) |
| 23-00185 | Jan 22, 2023 | Corporate Debt & OTC Equities – Unsuitable investments/alleged losses | $530,000 | Settled $175,000 (May 21, 2024) |
- No currently pending disclosed cases as of the latest review.
- Most recently reported settlements relate to conduct at Joseph Gunnar & Co. LLC.
Potential Red Flags for Investors
- Unsuitable Investment Recommendations: Customers allege investments were recommended that did not align with their stated goals or risk tolerance. This may violate FINRA Rule 2111 (Suitability Rule).
- Failure to Act in Clients’ Best Interests: For recommendations made after June 2020, allegations may also reflect possible violations of SEC Regulation Best Interest (Reg BI), which heightens advisor obligations to retail investors.
- Outstanding Tax Liens: Pullano has five outstanding tax liens filed between 2017–2020, including two large IRS liens ($53,033.78 and $46,848.44) indicating possible financial distress.
What Actions Can Investors Take?
If you experienced losses while working with Joseph C. Pullano, particularly during his tenure at Joseph Gunnar & Co. LLC, recovering those losses may be possible through FINRA arbitration. Financial advisors are responsible for making recommendations that are suitable and in your best interest. If you believe that was not the case, you could have valid grounds for a claim.
- All consultations with Haselkorn & Thibaut are free and confidential.
- No recovery, no fee: There are never any out-of-pocket legal fees unless they recover funds for you.
- Haselkorn & Thibaut has successfully helped victims of broker misconduct recover millions in losses nationwide.
Why Choose Haselkorn & Thibaut?
With decades of combined experience, a 98% success rate, and millions recovered, Haselkorn & Thibaut is uniquely positioned to help investors understand their options and pursue recovery. Their team is committed to personal attention and effective case strategies, ensuring clients are informed every step of the way. The process is risk-free: No recovery, no fee.
Next Steps: Get Straight Answers and See If You Have a Case
If you lost money or have concerns about investments made through Joseph C. Pullano at Joseph Gunnar & Co. LLC in New York, NY, consider a complimentary review of your situation by a dedicated securities attorney. Many investors mistakenly assume their risks are “part of the market,” but improper advice or misconduct may be involved. Don’t hesitate—your consultation is free and confidential.
Concerned about your investments with Joseph C. Pullano? Call Haselkorn & Thibaut toll-free at 1-888-994-8066 for a no-cost, confidential discussion of your options. There is never a fee unless they recover for you.
For the latest updates or to start your free case review, call today or visit investmentfraudlawyers.com.
