DID RONALD CAPPUCCIO CAUSE YOU INVESTMENT LOSSES?
About Ronald Cappuccio of Charles Schwab & Co., Inc.?
Ronald Cappuccio (CRD #5530949) , located in New York City, New York, is an experienced financial professional currently employed by Charles Schwab & Co., Inc. in New York City, New York, since April 2024 as a registered broker and financial adviser. He is registered with two Self-Regulatory Organizations (SROs) and holds licenses in 20 U.S. states and territories. Cappuccio has previously been registered with firms such as UBS Financial Services (2013–2017), Merrill Lynch (2010–2013), and David Lerner Associates (2008–2009). He also co-founded Quantum & Co., where he worked from 2021 to 2024. In addition to his investment-related roles, he has pursued management consulting through his own firm, RC Strategic Consulting. Over his career, Cappuccio has passed two principal/supervisory exams, three general industry/product exams, and three multi-state securities law exams, including the Series 7, 9, 10, 63, 65, and 66.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Ronald Cappuccio Customer Complaints and Reviews
There is one pending customer dispute disclosed in Ronald Cappuccio’s report:
- Customer Dispute Reported: May 9, 2024
- Complaint: While employed at Quantum & Co. Strategic Advisors, clients accused Cappuccio of misrepresenting material facts and omitting critical information in the solicitation of accounts related to the purchase of unregistered pre-Initial Public Offering (IPO) securities.
- Product Type: Exchange-Traded Funds (ETFs)
- Claimed Damages: $2,700,000
- Status: Civil litigation pending in the District Court of New Jersey underCase #3:24-CV-05720-MAS-JBD.
Allegations Against Ronald Cappuccio
The disclosed customer dispute involves serious allegations of improper solicitation practices. The specific accusations are as follows:
- Misrepresentation of material facts and omissions during client interactions related to unregistered pre-IPO securities.
- The total claimed damages amount to $2,700,000, with the exact figure to be determined through litigation.
- These allegations remain pending. The case is currently under review by the District Court of New Jersey, highlighting a critical area for potential investors to monitor.
Ronald Cappuccio Red Flags & Your Rights As An Investor
Of course, Ronald Cappuccio 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 Ronald Cappuccio at Charles Schwab & Co., Inc. on alert to review carefully the activity and performance of their accounts and question whether Ronald Cappuccio has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Charles Schwab & Co., Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Charles Schwab & Co., Inc. Due To Ronald Cappuccio
If you have questions about Charles Schwab & Co., Inc. and/or Ronald Cappuccio and 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.
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