Joseph Scott Audia of Hauppauge, New York, a stockbroker formerly registered with Joseph Stone Capital, has been fined $5,000.00 and suspended for two months from associating with any Financial Industry Regulatory Authority (FINRA) member in any principal capacity because he failed to supervise a stockbroker who engaged in unsuitable and excessive transactions. Letter of Acceptance,…

Sebastian Wyczawski of Mineola, New York, a stockbroker formerly registered with Joseph Stone Capital LLC, has been fined $5,000.00 and suspended for five months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because he executed excessive and unsuitable transactions during the time that he was associated with Joseph Stone Capital…

Douglas Jarrett Rosenberg of Mineola, New York, a stockbroker currently registered with Joseph Stone Capital LLC, has been suspended for seven months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because of his excessive and unsuitable trading during the time that he was associated with Joseph Stone Capital. 2019063821605 (December…

Eugene Arthur McAdams of Center Moriches, New York, a stockbroker formerly registered with Joseph Stone Capital LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because McAdams failed to comply with a FINRA investigation relating to his investment recommendations during the time that he was associated with…

Adam Maggio of Mineola, New York, a stockbroker currently registered with Joseph Stone Capital LLC, is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $2,087,663.24 in damages based upon allegations that Maggio made unauthorized and unsuitable transactions, churned the customer’s account, acted negligently, and breached a…

Anthony Joseph Graziano of New York, New York, a stockbroker currently registered with Joseph Stone Capital, has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any principal capacity because he failed to supervise stockbrokers who executed excessive transactions in Joseph Stone customer accounts. Letter…

Miguel Angel Murillo (also known as Michael Murillo) of New York, New York, a stockbroker currently registered with Joseph Stone Capital LLC, has been fined $5,000.00 and suspended for eight months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because he engaged in unsuitable and excessive trading in Joseph Stone…

Michael James May of Mineola, New York, a stockbroker formerly registered with Joseph Stone Capital LLC, has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because he made unsuitable and excessive transactions in customer accounts during the time that he was associated…

David Martin Martirosian of New York, New York, a stockbroker formerly registered with Joseph Stone Capital LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Martirosian failed to cooperate with FINRA in an investigation relating to excessive and unsuitable trading and selling away while registered with…

Todd Franklin Kling of Aventura, Florida, a stockbroker formerly registered with Joseph Stone Capital LLC, has been suspended for three months by Financial Industry Regulatory Authority (FINRA) from associating with any FINRA member in any capacity based upon allegations that Kling made unsuitable and excessive transactions. Letter of Acceptance, Waiver, and Consent No. 2019063821606 (December…

Miguel Angel Murillo (also known as Michael Murillo and as Miquel Angel Murillo) of New York, New York, a stockbroker registered with Joseph Stone Capital LLC, has been fined $5,000.00 and suspended for eight months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Murillo engaged in unsuitable and excessive…

Travis Justin Lippmann, 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 Lippmann’s unsuitable trading of over-the-counter equities during the time that he was associated…

Joseph Scott Audia, of Hauppauge, New York, a stockbroker formerly registered with Joseph Stone Capital LLC, has been fined $5,000.00 and suspended for two months from associating with any Financial Industry Regulatory Authority (FINRA) member in any principal capacity based upon findings that he failed to supervise a stockbroker, resulting in excessively trading in a…

Adam Maggio, of Mineola, New York, a stockbroker currently registered with Joseph Stone Capital LLC, has been fined $5,000.00 and suspended for five months from associating with any Financial Industry Regulatory Authority (FINRA) member in any principal capacity supported by findings that he failed to supervise a stockbroker which resulted in excessive trading in customer…

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…

Anthony Joseph Graziano, of New York, New York, a stockbroker currently registered with Joseph Stone Capital LLC, has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any supervisory capacity supported by findings that he failed to supervise a stockbroker who made excessive trades in…

Todd Franklin Kling, of New York, New York, a stockbroker currently registered with Joseph Stone Capital LLC, has been suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on findings that he recommended unsuitable and excessive trades in a customer’s account during the time that he…

Douglas Jarrett Rosenberg, of Hauppauge, New York, a stockbroker currently registered with Joseph Stone Capital LLC, has been suspended for seven months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings of Rosenberg making unsuitable and excessive trades in the accounts of three Joseph Stone Capital customers. Letter…

Sebastian Wyczawski of Manorville New York a stockbroker formerly registered with Joseph Stone Capital LLC has been fined $5,000.00 and suspended for five months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Wyczawski made unsuitable recommendations to customers while he was associated with Joseph Stone Capital….

Michael James May of Mineola New York a stockbroker formerly registered with Joseph Stone Capital LLC has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings of his excessive and unsuitable trades in customer accounts. Letter of Acceptance Waiver and…

Abdul Matin Rahmani of Mineola New York a stockbroker formerly registered with Joseph Stone Capital LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon a FINRA Office of Hearing Officer’s Order Accepting Offer of Settlement containing findings that Rahmani engaged in outside business activities which…

Eugene Arthur McAdams of Center Moriches New York a stockbroker formerly registered with Joseph Stone Capital LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that McAdams refused to testify for FINRA personnel who investigated whether McAdams made unsuitable recommendations to customers when he…

Ross Adam Barish of Mineola New York a stockbroker currently registered with Joseph Stone Capital LLC has been charged by Securities and Exchange Commission (SEC) with taking part in an excessive trading scheme to defraud investors. Securities and Exchange Commission v. Ross Barish Case No. 1:20-cv-06437 (Aug. 13, 2020). According to the Complaint, while Barish…

Abdul Matin Rahmani (also known as Abdul Rahmani) of Melville New York a stockbroker formerly registered with SW Financial is the subject of an August 5, 2020 FINRA investigation in which he may face a disciplinary action from FINRA Department of Enforcement based upon accusations of him engaging in undisclosed outside business activities and failing…

Erik Patrick Pica (also known as Eric Patrick Pica) of Joseph Stone Capital LLC has been barred from associating with any Financial industry Regulatory Authority (FINRA) member in any capacity according to a Default Decision concerning findings that (1) a customer’s funds were converted by Pica (2) the customer was provided with misleading and false…

David Martin Martirosian of New York New York a stockbroker currently associated with Joseph Stone Capital LLC has been referenced in a customer initiated investment related complaint which was settled on December 14, 2018 for $39,077.15 in damages supported by allegations of the customer being misled with regard to Fat Brands Inc. stock purchases effected…

Eric Patrick Pica of New York New York a stockbroker formerly registered with Joseph Stone Capital LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to a FINRA Office of Hearing Officers’ Default Decision containing findings that Pica misused and converted an investor’s funds. Department of…

David Gene Menashe of Mineola New York a stockbroker formerly employed by Joseph Stone Capital LLC is referenced in a customer initiated investment related arbitration claim in which the customer requested $50,000.00 in damages based upon accusations that (1) fiduciary duties were breached (2) the customer’s account was administered negligently (3) misrepresentations had been made…

Erik Patrick Pica (also known as Eric Patrick Pica) of New York New York a stockbroker currently registered with Joseph Stone Capital L.L.C. has been charged in a Complaint brought by Financial Industry Regulatory Authority which alleged that Pica converted funds from a customer during the period in which he was associated with Joseph Stone…

Ibrahim Ethem Kurtulus of New York New York a stockbroker formerly registered with Windsor Street Capital LP is referenced in a customer initiated investment related arbitration claim which was settled for $14,999.99 in damages based upon allegations that Kurtulus gave the customer bad advice concerning stocks that were placed in the customer’s investment account while…

Imtiaz A. Khan (also known as Raana Khan) of New York the former executive vice president and managing partner at Windsor Street Capital LP has been fined $20,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon an Order Accepting Offer of Settlement containing findings that (1)…

Christopher Vincent Paul of Mineola New York a stockbroker formerly registered with Joseph Stone Capital L.L.C. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on allegations that Paul failed to comply with FINRA’s request for information potentially relating to Paul’s employment separations after being subject of…

David Gene Menashe of Mineola, New York, a stockbroker formerly registered with Joseph Stone Capital, L.L.C., is the subject of an Order issued by the State of Montana Commissioner of Securities & Insurance obligating $15,000.00 in restitution to a customer based on allegations that Menashe effected unauthorized trades in the customer’s account, and effected trades on…

Christopher John Calandrino, of Holbrook, New York, a stockbroker formerly registered with Holbrook, New York, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that he failed to provide FINRA with information about his business activities. Letter No. 2016051602401 (Feb. 10, 2017). FINRA Public Disclosure…

Nicolas Esteban Arango, of Syosset, New York, a stockbroker formerly registered with Joseph Stone Capital L.L.C., has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Arango failed to provide FINRA staff with information after it was requested of him. Case No. 2017053874801 (May 22,…

Phillip Carl Contino Jr., of Hauppauge, New York, a stockbroker currently registered with Joseph Stone Capital L.L.C., is the subject of a customer initiated investment related written complaint on April 28, 2015, in which the customer requested $51,000.00 in damages based upon allegations that he made misrepresentations and omissions to the customer, and effected transactions…

David Martin Martirosian, of Oyster Bay, New York, a stockbroker formerly registered with Legend Securities, Inc., has been named in a customer initiated investment related arbitration claim on June 11, 2015, in which the customer requested $10,696.00 in damages based upon allegations that Martirosian effected unauthorized over-the-counter equity transactions in the customer’s account. Financial Industry…

Robert J. Murray, of New York, New York, a stockbroker formerly registered with Spartan Capital Securities LLC, has been named in a customer initiated investment related arbitration claim on December 22, 2016, in which the customer requested $374,839.00 in damages based upon allegations that Murray converted the customer’s funds, effected unsuitable and excessive over-the-counter equity…

Joel Anthony Benanti, of Farmingdale, New York, a stockbroker formerly registered with Laidlaw and Company (UK) Ltd., has been named in a customer initiated investment related arbitration claim on July 19, 2016, in which the customer requested $22,269.00 in damages based upon allegations that between 2012 and 2013, Benanti effected unsuitable equity transactions in the…