Ross Adam Barish of Mineola New York a stockbroker currently registered with Joseph Stone Capital L.L.C. is referenced in a customer initiated investment related arbitration claim which was resolved for $14,900.00 supported by accusations that (1) Barish breached his contractual obligations to the customer (2) Barish executed over-the-counter equities transactions in the customer’s account that were not suitable for the customer (3) Barish breached his fiduciary duties to the customer and (4) Barish placed trades in the customer’s account on an excessive basis. Financial Industry Regulatory Authority (FINRA) Arbitration No. 17-01000 (June 14, 2017).
FINRA Public Disclosure reveals that Barish has been identified in three more customer initiated investment related disputes containing allegations of Barish’s violative conduct during the time that he was associated with Ladenburg Thalmann & Company Inc. Particularly, on March 28, 2008, a customer filed an investment related complaint concerning Barish’s conduct in which the customer requested $21,477.00 in damages based upon allegations that the customer’s margin account was inappropriately utilized to effect securities transactions; the customer’s instructions were not followed; and the customer was not provided relevant confirmations and statements in reference to the customer’s account.
On April 25, 2008, another customer filed an investment related complaint involving Barish’s activities where the customer sought $176,923.62 in damages founded on accusations that unauthorized equity trades were effected in the customer’s account. Thereafter, a customer initiated investment related arbitration claim regarding Barish’s conduct was settled for $14,900.00 in damages supported by accusations that Barish churned the customer’s investment account, excessively traded on margin, and placed over-the-counter equities trades in the customer’s account that failed to be suitable for the customer. FINRA Arbitration No. 17-00519 (Mar. 30, 2017).
Barish has been employed by Joseph Stone Capital L.L.C. since February 26, 2013.
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