Tag Archives: Joseph Stone Capital LLC

Joseph Stone Stockbroker Charged In Axe Marketing Investigation

June 12, 2021  |   Posted by :   |   Investment and Regulatory News, Selling Away and Outside Activities   |   Comments Off on Joseph Stone Stockbroker Charged In Axe Marketing Investigation

Abdul Matin Rahmani of Mineola New York a stockbroker formerly registered with Joseph Stone Capital LLC has been charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement with engaging in outside business activities when he was associated with Joseph Stone, and with failing to be cooperative with FINRA during the time that he was […]

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Joseph Stone Stockbroker Sanctioned For Excessive Trading

May 15, 2021  |   Posted by :   |   Boilerroom Sales, Excessive Trading, FINRA Securities Arbitration, Investment and Regulatory News, Unsuitable Investment Recommendations   |   Comments Off on Joseph Stone Stockbroker Sanctioned For Excessive Trading

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 […]

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FINRA Bars Joseph Stone Stockbroker In Investigation

May 15, 2021  |   Posted by :   |   Boilerroom Sales, Excessive Trading, Investment and Regulatory News, Selling Away and Outside Activities, Unsuitable Investment Recommendations   |   Comments Off on FINRA Bars Joseph Stone Stockbroker In Investigation

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 founded on findings that Martirosian failed to cooperate with FINRA when he was investigated for effecting unsuitable and excessive trades in customer […]

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Investors File FINRA Securities Arbitration Against Joseph Stone For Failure To Supervise

December 07, 2020  |   Posted by :   |   Failure To Supervise, FINRA Securities Arbitration, Investment and Regulatory News   |   Comments Off on Investors File FINRA Securities Arbitration Against Joseph Stone For Failure To Supervise

Sebastian Wyczawski of Manorville New York a stockbroker currently registered with Joseph Stone Capital LLC has been referenced in a customer initiated investment related arbitration claim where the customer requested $235,635.00 in damages based upon accusations that Wyczawski failed to supervise a stockbroker who effected unsuitable over-the-counter equities trades in the customer’s Joseph Stone Capital […]

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Joseph Stone Sued By Investors For Negligence

June 08, 2020  |   Posted by :   |   Breach of Fiduciary Duty, Securities Arbitration Claims, Stockbroker Negligence, Unauthorized Trading   |   Comments Off on Joseph Stone Sued By Investors For Negligence

David Khezri of Holbrook New York a stockbroker formerly employed by Joseph Stone Capital LLC has been identified in a customer initiated investment related arbitration claim where the customer sought $235,635.00 in damages founded on accusations of negligence and the breach of a fiduciary duty by Khezri as it pertained to stock trades executed in […]

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Investors Accuse Joseph Stone Capital Of Misrepresentation

May 12, 2020  |   Posted by :   |   Boilerroom Sales, Breach of Fiduciary Duty   |   Comments Off on Investors Accuse Joseph Stone Capital Of Misrepresentation

Jonathan J. Miller of New York New York a stockbroker currently registered with Joseph Stone Capital LLC is the subject of a customer initiated investment related complaint which was settled on December 14, 2018 for $39,077.15 in damages based upon allegations of omissions or misrepresentations relating to the quantity of over-the-counter equities shares purchased for […]

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Investors Hit Joseph Stone For Churning

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 […]

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Joseph Stone Stockbroker Charged With Fraud

Frank Anthony Spadaro, of Mineola, New York, a stockbroker currently registered with Joseph Stone Capital L.L.C., has been named in a Notice of Proposed Agency Action and Opportunity for Hearing by the Office of the Commissioner of Securities and Insurance, Montana State Auditor, in which Spadaro was alleged to have utilized customers’ margin accounts in […]

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