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Category: Joseph Stone Capital

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FINRA Sanctioned Broker Palmery Desir For Alleged Excessive Trading

Palmery Desir (CRD#: 5559016), also known as Paul Desir, is a registered Broker at Richfield Orion International, Inc. in Huntington, NY. Broker’s Background He entered the securities industry in 2008 and previously worked for Joseph Stone Capital, LLC; Rothschild Lieberman, LLC; Craig Scott Capital, LLC; Brookstone Securities, Inc.; and JHS Capital Advisors, Inc. Current And […]

Broker Douglas Rosenberg of Joseph Stone Capital Suspended by FINRA After Allegations of Excessive Trading

Douglas J. Rosenberg (CRD#: 3214215) is a registered Broker at Joseph Stone Capital, LLC in Hauppauge, NY. Broker’s Background Douglas J. Rosenberg entered the securities industry in 2000 and previously worked for First Midwest Securities, Inc.; Newbridge Securities Corporation; Securities Service Network, Inc.; Cantella & Co., Inc.; Raike Financial Group, Inc.; and GBI Capital Partners, […]

Former Joseph Stone Capital Broker Sebastian Wyczawski Sanctioned by FINRA After Allegations of Excessive and Unsuitable Trading Leading to Investment Loss

Sebastian Wyczawski (CRD#: 2835135) is a registered Broker at VCS Venture Securities in Mineola, NY.   Broker’s Background   He entered the securities industry in 1998 and previously worked for Joseph Stone Capital LLC; Cape Securities, Inc.; Liberty Partners Financial Services, LLC; Milestone Financial Services, Inc; and Seaboard Securities, Inc.   Current And Past Allegations […]

Former Joseph Stone Capital Broker Michael J. May Sanctioned by FINRA for Alleging Unsuitable and Excessive Trading Leading to Investment Loss

Michael J. May (CRD#: 4712287) is a registered Broker at VCS Venture Securities in New York, NY.   Broker’s Background   He entered the securities industry in 2004 and previously worked for Joseph Stone Capital, LLC; Cape Securities, Inc.; Liberty Partners Financial Services, LLC; America’s Choice Equities, LLC; J.P. Turner & Company, LLC; LH Ross […]

Former Joseph Stone Capital Broker Eugene McAdams Barred by FINRA After Refusing to Participate in Investigation of Unsuitability Allegations

Eugene McAdams (CRD#: 4190211) is a previously registered Broker. He entered the securities industry in 2000 and previously worked for Joseph Stone Capital, LLC; Cape Securities, Inc.; PHD Capital; Brookstone Securities, Inc.; America’s Choice Equities, LLC: J.P. Turner & Company, LLC; ITradeDirect.com Corp.; Emmet A. Larkin Company, Inc.; J.P. Turner & Company, LLC; IDS Life […]

FINRA Investigation Recommends Disciplinary Action Against Nigel James, Broker at Joseph Stone Capital, for Excessive and Unsuitable Trading, and Suitability Concerns

Nigel James (CRD#: 4490687) is a registered Broker at Joseph Stone Capital, LLC in Mineola, NY. He entered the securities industry in 2002 and previously worked for First Midwest Securities, Inc.; J.P. Turner & Co., LLC; Brundyn Securities, Inc; LH Ross & Co., Inc.; and Harrison Securities, Inc. According to publicly available records released by […]

Joseph Stone Capital Broker Joseph Ambrosole Suspended by MD Securities Commissioner And FINRA For Alleged Unlawful Sales Practices

Joseph Ambrosole (CRD#: 5732488) was a previously registered Broker at Joseph Stone Capital, LLC in New York, NY. He entered the securities industry in 2011 and previously worked for Alexander Capital, L.P.; Meyers Associates, L.P.; Joseph Stone Capital, LLC; Global Arena Capital Corp.; Laidlaw & Company (UK) LTD; and Obsidian Financial Group, LLC. According to […]

Former Aegis Capital And Joseph Stone Capital Broker, Steven Luftschein, Has 17 Disclosed Customer Complaints And A Pending FINRA Enforcement Action

Steven Luftschein (CRD # 2690117) was a Financial Advisor at Aegis Capital in Melville, NY between 2013-2016 and Joseph Stone Capital in Huntington, NY between 2017-2018. Steven Luftschein has been in the securities industry since 1995 and previously worked at myriad brokerage firms in the New York area. According to publicly available records released by […]

Joseph Stone Capital Broker, Travis Lippmann, Has Three Customer Complaints, Including Two Pending Complaints

Travis Lippmann (CRD # 5908823) is a Financial Advisor at Joseph Stone Capital in New York, NY. Travis Lippmann has been in the securities industry since since 2011 and previously worked at Newbridge Securities and Maxim Group. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Travis Lippmann has three customer […]

FINRA Files Enforcement Action Against Joseph Stone Financial Advisor, Erik Pica, For Allegedly Converting Client Funds

Erik Pica (CRD # 4829533) is a Financial Advisor at Joseph Stone Capital in New York, NY.  Erik Pica has been in the securities industry since 2004 and previously worked at Global Arena Capital Corp. and First Midwest Securities.  According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in July 2019, […]