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Category Joseph Stone Capital

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

August 8, 2021

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

July 23, 2021

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

May 23, 2020

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

March 3, 2020

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…

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