John Pucci: Suitability Complaint Against Craft Capital Advisor

Houston, Texas financial advisor John Pucci (CRD# 6120523) has received multiple investor complaints alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Craft Capital Management, having previously been registered with Aegis Capital.

Mr. Pucci’s BrokerCheck report discloses multiple investor complaints. The most recent, filed in September 2025, alleges that as a representative of Aegis Capital, he breached his fiduciary duty, recommended unsuitable private placement investments, made misrepresentations and omissions of material facts, violated FINRA rules, and breached contract. The pending complaint alleges unspecified damages.

A second investor complaint, filed in 2020, alleged that as an Aegis Capital representative, he recommended unsuitable investments, breached contract, and breached his fiduciary duty. In 2022 the complaint reached a settlement of $18,755.69.

In a statement included with the complaint’s disclosure, Mr. Pucci defended himself against the allegations. “I vehemently deny these false accusations,” he wrote. “I am not named as a respondent in this arbitration. All investments made were with the consent and full authorization by [the customer]. All recommendations were suitable based on the client’s investment objectives & risk tolerance. I believe that the client may have been solicited by Cold Spring Advisory. There was no wrong doing on my behalf.”

A third investor complaint, filed in 2019, alleged that as an Aegis Capital representative, he breached his fiduciary duty, made unsuitable recommendations, breached contract, and acted negligently. The complaint reached a settlement of $13,500.

In a statement included with the complaint’s disclosure, Mr. Pucci again defended himself against the claim, writing that he never lost money for the client, with whom he hadn’t worked in more than a year. “Nor have I ever recommended investments that weren’t suitable based on her investment objectives and risk tolerance,” he added. “Considering that she decided to maintain her account with my old firm, everything that happened thereafter was out of my control because I was no longer managing her assets. I am not named as a respondent in this arbitration.”

According to the Financial Industry Regulatory Authority, John Pucci holds 10 years of securities industry qualifying exams. Based in Houston, Texas, he has been registered as a broker with Craft Capital Management since 2018. His past registrations include Aegis Capital, First Standard Financial Company, and Laidlaw & Company. His credentials include the passage of three securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the General Securities Representative Examination, or Series 7. He holds 23 state licenses. (Information current as of December 14, 2025.)

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