Harold Steve Jones Jr. of New York New York a stockbroker formerly employed by Windsor Street Capital is referenced in a customer initiated investment related civil action brought in the Pine County District Court in which the customer sought $171,851.00 in damages founded on allegations that Jones engaged in sales practice violations or other unlawful conduct with regard to the stock and over-the-counter equities transactions placed in the customer’s investment portfolio while Jones was registered with Windsor Street Capital. Civil Action No. 58:CV-18-327 (July 23, 2018).
Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally confirms that on October 3, 2016, a customer filed an investment related complaint concerning Jones’ conduct where the customer requested $5,000.00 in damages based upon accusations that while Jones was associated with Meyers Associates LP, Jones neglected to abide by the customer’s investment instructions with regard to over-the-counter equities.
Jones’ registration with Windsor Street Capital LP was terminated on May 31, 2018. Between May 21, 2018 and August 28, 2018, Jones was associated with Joseph Stone Capital L.L.C. He has been employed by Spartan Capital Securities LLC since July 26, 2018. Since May 16, 2003, Jones has been associated with twelve different broker dealers, eight of which have been expelled by securities regulators for violation of federal securities laws or are otherwise defunct. #cockroach
In particular, Windsor Street Capital was disqualified because of a Securities Exchange Commission (SEC) Order Making Finding and Imposing Remedial Sanctions based upon findings that the firm, inter alia, engaged in the unlawful sale of several hundred million penny stocks; conduct violative of Securities Act of 1933 Section 5.
