National investment loss lawyers KlaymanToskes is investigating broker Ronald Cappuccio (CRD# 5530949) of Quantum & Co. Strategic Advisors and Charles Schwab & Co.
According to FINRA BrokerCheck, broker Ronald Cappuccio is currently involved in a customer complaint alleging $2,700,000 in damages. The complaint further alleges that the solicitation of accounts were improper by allegedly misrepresenting material facts and omissions related to the purchase of unregistered pre-Initial Public Offering securities.
Investors that suffered losses with broker Ronald Cappuccio are encouraged to contact attorney Lawrence L. Klayman, Esq., at 888-997-9956 or by email at investigations@klaymantoskes.com to discuss potential recovery options. We do not collect attorney’s fees unless we are able to obtain a financial recovery for you.
Financial advisor Ronald Cappuccio of Quantum & Co. Strategic Advisors and Charles Schwab & Co., is currently involved in a customer dispute, according to Financial Industry Regulatory Authority (“FINRA”) records. The customer complaint alleges $2,700,000 in damages. The customer alleges misrepresentation of material facts and omissions related to the purchase of unregistered pre-Initial Public Offering securities. Cappuccio is currently registered as a broker with Charles Schwab & Co. in New York, NY.
As an investor, there are a few signs that you should look out for if you believe you may have a claim against your financial advisor. These signs could potentially indicate misconduct, negligence, or investment fraud. Investors are encouraged to contact our firm immediately if you have experienced any of the following:
Some investors have close relationships with their brokers due to the time and trust built over the course of their investment relationship. However, it is crucial to remember that financial decisions should be based on careful analysis and due diligence rather than solely relying on personal relationships.
Engaging the services of an experienced securities attorney to evaluate your specific circumstances is strongly advised. At KlaymanToskes, our team of experienced securities attorneys has a deep understanding of this complex area of law, allowing us to provide invaluable insight and tailored guidance that directly addresses your individual needs.
If you suffered losses with broker Ronald Cappuccio, or have concerns regarding your investment portfolio at Quantum & Co. Strategic Advisors, Charles Schwab & Co, or with any other financial advisor or firm, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation.