Joseph Stone Capital complaint

  • ER

Joseph Ambrosole- Former Joseph Stone Capital Advisor- Discloses Regulatory Events, Customer Suits and an IRS Lien – New York, NY
Joseph Ambrosole- Former Joseph Stone Capital Advisor- Discloses Regulatory Events, Customer Suits and an IRS Lien – New York, NY 150 150 ER

Joseph Ambrosole Investigation September 2022- New York, NY According to publicly available records,  Joseph Ambrosole a former FINRA registered representative who last worked for Joseph Stone Capital, discloses 5 prior…

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  • ER

Michael J. May- Joseph Stone Capital Broker- Discloses Regulatory Event and Settled Customer Dispute- Mineola, NY
Michael J. May- Joseph Stone Capital Broker- Discloses Regulatory Event and Settled Customer Dispute- Mineola, NY 150 150 ER

Michael J. May Investigation April 2022- Mineola, NY According to publicly available records,  Michael James May,  a broker who formerly worked for Joseph Stone Capital discloses a regulatory event and a…

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David Martirosian-Former Joseph Stone Capital Broker-Permanently Barred From FINRA- NYC, NY
David Martirosian-Former Joseph Stone Capital Broker-Permanently Barred From FINRA- NYC, NY 150 150 ER

July 2021- New York, NY According to publicly available records David Martirosian (CRD#5261144), a  former stockbroker who last worked for Joseph Stone Capital,  has been permanently barred from FINRA. The…

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  • Robert Rex, Esq.

Erik Pica-Joseph Stone Capital Broker-Discloses Customer Disputes & FINRA Investigation- New York, NY
Erik Pica-Joseph Stone Capital Broker-Discloses Customer Disputes & FINRA Investigation- New York, NY 150 150 Robert Rex, Esq.

October 2019 – New York, New York The FINRA records of Erik Patrick Pica  , a  stockbroker who is employed by Joseph Stone Capital , disclose 3 pending customer dispute, 4 prior customer disputes and a…

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  • Robert Rex, Esq.

David G. Menashe-Former Joseph Stone Capital Broker-Sanctioned by Securities Regulator for Excessive Trading-New York
David G. Menashe-Former Joseph Stone Capital Broker-Sanctioned by Securities Regulator for Excessive Trading-New York 150 150 Robert Rex, Esq.

July 2017-New York The FINRA records of  David G. Menashe ,  a  stockbroker who is currently  employed by  Newbridge Securities Corp. , disclose a  prior regulatory event. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

John Fenimore-Former Aegis Capital Broker-Discloses Customer Disputes Alleging Unsuitable Use of Margin-Hauppauge, NY
John Fenimore-Former Aegis Capital Broker-Discloses Customer Disputes Alleging Unsuitable Use of Margin-Hauppauge, NY 150 150 Robert Rex, Esq.

April 2017- Hauppauge, NY The FINRA records of  John David Fenimore ,  a  former Aegis Capital stockbroker who is currently not registered disclose a pending customer dispute and a prior customer dispute that has been settled.…

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  • Robert Rex, Esq.

Thomas J. Tedeschi-Former Joseph Stone Capital Broker-Discloses Regulatory Suspension
Thomas J. Tedeschi-Former Joseph Stone Capital Broker-Discloses Regulatory Suspension 150 150 Robert Rex, Esq.

October 2016-Farmingdale, NY The FINRA records of  Thomas J. Tedeschi,  a  stockbroker who is currently employed by  Salomon Whitney Financial  disclose 5 prior customer disputes that are final and one recently resolved regulatory matter. The Financial Industry…

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  • Robert Rex, Esq.

Steve J. Pabon-Joseph Stone Broker-Discloses Pending Customer Dispute-Syosset,NY
Steve J. Pabon-Joseph Stone Broker-Discloses Pending Customer Dispute-Syosset,NY 150 150 Robert Rex, Esq.

July 2017- Syosset, New York The FINRA records of  Steve J. Pabon,  a  stock broker who is currently employed by Joseph Stone Capital ,  disclose  a currently pending customer dispute and a prior termination from…

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