Anthony Vultaggio— Alleged Sales of Private Investments, Undisclosed Outside Business Activities

Cleveland stockbroker fraud lawyerAnthony Vultaggio, Jr. Allegedly Engaged in a Potentially Undisclosed Offering of Securities through an Undisclosed Outside Business without Prior Notice to or Consent from American Capital Partners, His Member Firm

Anthony Vultaggio allegedly engaged in a potentially undisclosed offering of securities through an undisclosed outside business without prior notice to or consent from his member firm, according to a recent Letter of Acceptance, Waiver, and Consent (AWC) presently being reviewed by attorneys Alan Rosca and James Booker.

Investors who believe they may have lost money in activity related to Anthony Vultaggio’s alleged undisclosed outside business activities are encouraged to contact attorneys Alan Rosca or James Booker with any useful information or for a free, no obligation discussion about their options.

The Peiffer Rosca Wolf securities lawyers are currently investigating Anthony Vultaggio’s alleged undisclosed outside business activities.

FINRA opened an investigation into Vultaggio following his termination by his former brokerage firm, American Capital Partners, and it was alleged that Vultaggio  allegedly sold private investments to an investor without notification to American Capital Partners, according to the aforementioned AWC.

American Capital Partners, on July 13, 2017, allegedly filed an amended Form U5 disclosing an ongoing internal review that had been initiated on July 7, 2017, and stated that the firm had been advised by one of the respondent’s former clients that Vultaggio allegedly solicited an investment in a private offering for an entity Vultaggio allegedly represented that he owned and/or controlled, the AWC reports.

Anthony Vultaggio Barred by FINRA; Vultaggio Allegedly Refused to Appear for FINRA Requested On-the-record Testimony

FINRA purportedly requested on-the-record testimony of Anthony Vultaggio during the course of an examination into his potential undisclosed offering of securities through an undisclosed outside business without prior notice to or consent from his member firm, according to the aforementioned AWC currently being reviewed by attorneys Alan Rosca and James Booker.

Vultaggio, by allegedly refusing to appear for on-the-record testimony as requested pursuant to FINRA Rules allegedly violated FINRA Rules and hence has been barred from associating with any FINRA member firm in any capacity, the AWC notes.

Anthony Vultaggio was a financial advisor and registered representative of American Capital Partners from July 2007 to March 2017, and worked at a branch office in East Meadow, New York, the AWC states.

Finally, one should also note that, according to the AWC, Anthony Vultaggio neither admitted nor denied the FINRA findings.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of investment-related fraud or misconduct and are currently investigating  Anthony Vultaggio’s alleged undisclosed outside business activities. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of  Anthony Vultaggio’s alleged undisclosed outside business activities may contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca or James Booker, for a free no-obligation evaluation of their recovery options, at 888-998-0520 or via e-mail at arosca@prwlegal.com or jbooker@prwlegal.com.

Alan Rosca (1234 Posts)

Alan is a securities lawyer. He also teaches Securities Regulation at the Cleveland-Marshall College of Law. He focuses his legal practice on complex commercial and financial litigation and arbitration, particularly in the areas of securities and investment fraud. His office is in Cleveland, Ohio.


In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent blogs regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases.