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Category: Joseph Stone Capital

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Joseph Stone Capital Sanctioned by FINRA For Excessive Trading

In September 2022, the Financial Industry Regulatory Authority settled allegations against member firm Joseph Stone Capital, LLC (CRD No. 159744). The Mineola, NY-based firm is concentrated in the New York metro area and has less than 50 registered representatives among four offices. Joseph Stone Capital, LLC has been a member of FINRA since 2012, according […]

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 […]

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 […]

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, […]

Financial Advisor Danard Brown Accused Of Misrepresenting Investments To A Senior Investor

The Wolper Law Firm is currently investigating claims against Danard Brown, a Financial Advisor at Joseph Stone Capital, LLC in Holbrook, New York.  Danard Brown has been in the securities industry since the 1990s and previously worked for three brokerage firms that have been expelled by the Financial Industry Regulatory Authority. According to publicly available […]

INVESTOR WARNING—Erik Pica Subject To Multiple Customer Complaints For Sales Practice Violations

The Wolper Law Firm is currently investigating claims against Erick Pica, a Financial Advisor at Joseph Stone Capital, LLC in New York, NY.  Erik Pica has been in the securities industry since 2004 and previously worked for three brokerage firms that have been expelled by the Financial Industry Regulatory Authority. According to publicly available records […]