Did you lose money with Frank J. Capuano of Royal Alliance Associates? If so, please call Stoltmann Law Offices in Chicago for a free consultation with an attorney. We may be able to help you recover those investment losses in the Financial Industry Regulatory Authority (FINRA) arbitration forum on a contingency fee basis. We sue firms such as Royal Alliance Associates to help investors recover money. 312-332-4200.
Allegedly, Capuano sold $1.1 million worth of investments in Woodbridge Mortgage Investment Funds without authorization from his brokerage firm. He earned $34,000 in commissions from the sales of notes. For this, he was suspended from the industry for 12 months and fined $10,000. The Texas Securities Commission alleged that the sale of Woodbridge notes constituted the sale of unregistered securities in 2015. The Massachusetts Securities Division brought a similar claim against the firm in 2015, as well.
Frank J. Capuano was registered with CG Equity Sales Company from October 1977 until September 1981, Integrated Resources Equity Corp from April 1983 until November 1989, and Royal Alliance Associates in Holyoke, Massachusetts from November 1989 until July 2015. According to his online FINRA BrokerCheck report, he is not licensed within the industry.
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