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Ronald Cappuccio Allegedly Misrepresented Investments

Ronald Cappuccio (CRD #: 5530949), a broker registered with Charles Schwab & Co, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on June 7, 2024. Details concerning this dispute are provided below. 

Investor Allegations 

On May 9, 2024, an investor alleged that Ronald Cappuccio misrepresented material facts and made omissions regarding the purchase of unregistered, pre-Initital Public Offering securities. The matter is allegedly pending civil litigation. 

FINRA Rule 2020 – Misrepresentation

FINRA Rule 2020 prohibits the misrepresentation of investments and omission of material facts. Material facts include information about an investment’s potential returns, as well as charges, expenses, and fees.

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of FINRA Rule 2020 also violate this rule. 

Background Information 

Ronald Cappuccio has passed the following exams: 

  • Series 66 Uniform Combined State Law Examination
  • Series 65 Uniform Investment Adviser Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination 
  • Series 7TO General Securities Representative Examination 
  • SIE – Securities Industry Essentials Examination
  • Series 7 General Securities Representative Examination 
  • Series 10 General Securities Sales Supervisor – General Module Examination 
  • Series 9 General Securities Sales Supervisor – Options Module Examination 

He is a registered broker in 17 states and is a registered investment adviser in New York. 

During his 12 years of experience, Ronald Cappuccio has registered with the following firms: 

  • Charles Schwab & Co. (CRD #: 5393) 
  • UBS Financial Services (CRD #: 8174) 
  • Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691) 
  • NPA Asset Management (CRD #: 131534) 
  • David Lerner Associates (CRD #: 5397) 

Kurta Law Can Help 

If you have worked with Ronald Cappuccio and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors 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. Do not let securities fraud go unchecked. Start your recovery process today.