Frank John Capuano— Undisclosed and Unapproved Private Securities Transactions

New Orleans stockbroker fraud attorney

New Orleans stockbroker fraud attorney

Frank John Capuano Allegedly Engaged in Undisclosed and Unapproved Private Securities Transactions Totaling More than $ 1.1 Million, in Woodbridge Notes to Nine of His Customers, All of Whom Were Close Friends and Family

Frank John Capuano allegedly engaged in undisclosed and unapproved private securities transactions totaling more than $ 1.1 million, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Alan Rosca and James Booker.

Frank John Capuano, between December 2014 and March 2015, allegedly offered and sold approximately $1.1 million in Woodbridge notes to nine of his customers, all of whom were his close friends and family, the AWC notes.

The Peiffer Rosca Wolf securities lawyers are currently investigating Frank John Capuano’s alleged undisclosed and unapproved private securities transactions.

Frank John Capuano Purchased $55,000 of Woodbridge Notes for Himself and His wife in February 2015; Suspended and Fined $10,000

Frank John Capuano purchased $55,000 of Woodbridge notes for himself and his wife in February 2015, according to the aforementioned AWC currently under review by attorneys Alan Rosca and James Booker.

Furthermore, Capuano also allegedly received over $34,000 in commissions in connection with the aforementioned transactions, the AWC notes.

Capuano, based on the aforementioned behavior, violated FINRA and NASD Rules, and hence has been suspended from association with any FINRA member firm, in all capacities, for a period of 12 months and received a $10,000 fine.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of alleged undisclosed and unapproved private securities transactions and are currently investigating Frank John Capuano’s undisclosed and unapproved private securities transactions. 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 Frank John Capuano’s undisclosed and unapproved private securities transactions 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.

Alan Rosca (1123 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.