Anthony Vultaggio Jr., of East Meadow, New York, a stockbroker formerly registered with American Capital Partners, LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he did not cooperate in an investigation into allegations that he engaged in outside business activities involving securities offerings. Letter of Acceptance, Waiver and Consent, No. 2017054945301 (Sept. 11, 2017).
According to the AWC, Vultaggio was investigated by FINRA for a securities offering he partook in while away from American Capital Partners, LLC, and without the firm’s knowledge and consent. Apparently, on July 24, 2017, FINRA reached out to Vultaggio seeking his testimony in reference to the allegations of his misconduct.
The AWC stated that on July 27, 2017, Vultaggio corresponded with FINRA personnel to confirm that he was asked to testify by August 8, 2017; however, Vultaggio stated that he would at no point cooperate with FINRA’s investigation. Consequently, Vultaggio never testified and his conduct was found by FINRA to be violative of FINRA Rules 2010 and 8210.
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