DID ANTHONY VULTAGGIO JR CAUSE YOU INVESTMENT LOSSES?
Anthony Vultaggio Jr formerly with American Capital Partners, LLC Has to Customer Complaints for Alleged Broker Misconduct in the Past Year
Who is Anthony Vultaggio Jr formerly with American Capital Partners, LLC?
Anthony Vultaggio (CRD #5292477) who was formerly registered with American Capital Partners, LLC and located in East Meadow, New York is a subject of one of our many securities industry sales practice abuse investigations.
Anthony Vultaggio has had regulatory problems. In September 2017, FINRA commenced an investigation about his alleged did undisclosed offering of securities through an undisclosed outside business without prior notice or consent from his member firm and he refused to appear for FINRA requested on-the-record testimony.
He entered into an Acceptance, Waiver, and Consent (AWC) agreement, without admitting or denying the findings, and consented to a permanent bar from any further association in the securities industry with any member firm in any capacity.
American Capital Partners, LLC Broker Misconduct
In his career, Anthony Vultaggio has been the subject of2 customer complaints that we know about, both of those complaints were filed in the last year to recover investment losses.
Both are currently pending customer complaints filed against Anthony Vultaggio’s former employer American Capital Partners, LLC for investment losses caused by his alleged misconduct. The alleged damages in each complaint or $1 million and $700,000.
Allegations Against Anthony Vultaggio
The allegations made in the FINRA reported arbitration pending complaints about investment losses are for Anthony Vultaggio’s alleged offer and sale of private placement investments.
According to the allegations, his former employer, American Capital Partners, LLC did not know of or approve the private placement investments. This former stockbroker misconduct is commonly referred to as “selling away” and a violation of FINRA rules.
Anthony Vultaggio Red Flags & Your Rights as An Investor
Of course, Anthony Vultaggio did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Anthony Vultaggio at American Capital Partners, LLC alert to review carefully the activity and performance of their accounts and question whether Anthony Vultaggio has engaged in any stockbroker misconduct that may have caused them investment losses.
The two “selling away” customer complaints at American Capital Partners, LLC also raises questions about its supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
File A Claim to Recover Your Investment Losses At American Capital Partners, LLC
If you have questions about American Capital Partners, LLC and/or Anthony Vultaggioand the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
Rate this Post
Loading...