Joseph Albert Ambrosole of New York, New York, a stockbroker formerly registered with Joseph Stone Capital LLC, has been barred from associating with any FINRA member in any capacity based upon allegations that Ambrosole failed to cooperate in a FINRA investigation. Letter of Acceptance Waiver and Consent No. 2021072773201 (July 28, 2022). According to the…
Joseph Albert Ambrosole, of New York, New York, a stockbroker formerly registered with Joseph Stone Capital LLC, is identified in a customer initiated investment related written complaint on July 30, 2021, where the customer sought $853,231.33 in damages founded on accusations of unsuitable trading of over-the-counter equities by Ambrosole between February of 2021 and May…
Joseph Albert Ambrosole of New York New York a stockbroker formerly registered with Joseph Stone Capital LLC has been fined $5,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Ambrosole recommended unsuitable and excessive transactions in customer accounts. Letter of Acceptance…
Joseph Albert Ambrosole, of New York, New York, a stockbroker formerly registered with Meyers Associates, L.P., has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he effected trades in customer accounts on an unauthorized basis. Letter of Acceptance, Waiver…