Last Updated: October 2023 (Mineola, NY)
Steve Moise Investigation Summary
Here’s what you need to know about Mineola, NY, stockbroker Steve Moise:
- Name: Mr. Steve Allen Moise
- Current Employer: Not currently registered with FINRA
- Previous Firms: Joseph Stone Capital , Spartan Capital Securities, Salomon Whitney, CBG Financial Group, Dalton Strategic Investment Services, Global Arena Capital, National Securities Corp.
- Function: Stock Broker/ Financial Advisor
- Aliases: Steve Moise, Steve Alan Moise
- Primary Location: Mineola, New York
- CRD 4995443
- Can Steve Moise be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: Yes
- Highest Settlement or Award: $35,000
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Steve Moise As Your Stockbroker?
FINRA suspended Steve Moise in 2/2023 for his failure to cooperate with a FINRA investigation. His CRD indicates that the suspension was lifted 5/11/2023, however he is not currently registered with any FINRA broker dealer.
In 3/2023 a customer of Joseph Stone Capital was paid $35,000 to settle a FINRA arbitration which alleged that Steve Moise traded their account excessively and made unsuitable recommendations.
Two other customers alleged that Steve Moise traded without authority, however their claims were ‘denied’ and the customers did not pursue the matter further.
Allegations of Broker Misconduct Against Steve Moise
Customers of Steve Moise have alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendations
- Unauthorized Trading
- Traded Account Excessively
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Has Your Brokerage Firm “Denied” Your Claim for Damages Due to Stockbroker Malpractice?
It is quite common, as well as predictable, for brokerage firms to deny a customer’s complaint made directly to the company. Firms know that in many, if not most, instances telling the customer “we don’t think it’s our fault” will be an end to the problem. In other words, it’s generally a waste of your time to sit down with the office manager & the broker.
They seldom, if ever, offer any resolution or if they do, will attempt to have you resolve your case for a fraction of what it is actually worth.
We suggest that if you think there is a problem with the way your account has been handled, or if you have had your claim “denied”, talk to an experienced securities attorney.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Steve Moise, contact us for a complimentary consultation with an experience securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
