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Justin Cappadona Allegedly Failed to Follow Client’s Instructions

Securities Lawyer Jonathan Kurta
By: Jonathan Kurta Author
August 8, 2025 at 5:39pm

Justin Cappadona (CRD #: 2775857), a broker registered with Raymond James & Associates, allegedly failed to follow an investor’s instructions, according to his BrokerCheck record, accessed on July 5, 2025. Keep reading if you have questions about his alleged conduct as a broker.

Investor Dispute

On April 25, 2025, an investor alleged that Justin Cappadona failed to follow instructions to liquidate his account. The client sought $1 million in damages but the dispute was denied by the firm.

However, investors can still seek out FINRA arbitration following a denial and can potentially recover their losses even if a firm denies their dispute.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Justin Cappadona has passed the following exams:

  • General Securities Sales Supervisor – Options Module Examination – Series 9

  • Securities Industry Essentials Examination – SIE

  • General Securities Representative Examination – Series 7

  • Uniform Investment Adviser Law Examination – Series 65

  • Uniform Securities Agent State Law Examination – Series 63

Justin Cappadona is a registered broker in Alabama, Oklahoma, Texas, and Wisconsin. He is also a registered investment adviser in Texas.

He has also worked for the following firms:

  • Morgan Stanley (CRD#:149777)

  • Morgan Stanley & Company (CRD#:8209)

  • Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691) 

Kurta Law Can Help

If you worked with Justin Cappadona and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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