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Securities Arbitration Lawyer Blog

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Read More About Iorio Altamirano LLP’s Historic Arbitration Award Against Robinhood For January 2021 Trading Restrictions

Partners August M. Iorio and Jorge Altamirano discuss Iorio Altamirano LLP’s groundbreaking arbitration award against Robinhood over the January 2021 trading restrictions and what the award may mean for retail investors. Q&A: When was the arbitration claim that led to the award filed? The claim was filed shortly after Robinhood…

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Joseph Scott Audia, Formerly with Joseph Stone Capital, Suspended by FINRA – Hauppauge, NY

FINRA has suspended Joseph Scott Audia, formerly with Joseph Stone Capital L.L.C., from associating with any FINRA member in all principal capacities for two months. Audia consented to the sanctions and to the entry of findings that he failed to reasonably supervise a registered representative, who excessively and unsuitably traded certain…

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Joseph Stone Capital Broker Todd Kling Suspended by FINRA – New York, NY

FINRA has suspended Joseph Stone Capital L.L.C. broker Todd Kling from the securities industry for three months. Kling consented to the sanction and to the entry of findings that he engaged in excessive and unsuitable trading, including the use of margin, in a senior customer’s account. Kling’s suspension is scheduled…

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Joseph Stone Capital Broker Adam Maggio Suspended by FINRA – Mineola, NY

FINRA has suspended Adam Maggio, with Joseph Stone Capital L.L.C., from associating with any FINRA member in all principal capacities for five months. Maggio has been registered in multiple capacities with Joseph Stone Capital L.L.C. since February 2013, including as a General Securities Principal. Maggio consented to the sanctions and…

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Joseph Stone Capital Broker Anthony Graziano Suspended by FINRA – New York, NY

FINRA has suspended Anthony Graziano, with Joseph Stone Capital L.L.C., from associating with any FINRA member in all principal capacities for three months. Graziano first became registered as a General Securities Representative and General Securities Principal with Joseph Stone Capital L.L.C. in June 2015 and subsequently became registered with the…

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Joseph Stone Capital Broker Douglas Rosenberg Suspended by FINRA – Hauppauge, NY

FINRA has suspended Joseph Stone Capital L.L.C. broker Douglas Rosenberg from the securities industry for seven months. Rosenberg consented to the sanctions and to the entry of findings that he excessively and unsuitably traded the accounts of three customers. As a result of Rosenberg’s unsuitable recommendations, his customers suffered a…

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GPB Investors Encouraged to File Arbitration Claims in 2022 to Preserve Legal Rights

Investors who purchased GPB funds in 2016 through a broker-dealer need to act now to preserve their legal rights. Failure to file an arbitration claim may prevent recovery of investment losses. Time is running out. GPB investors should act in 2022. Key Takeaways: Investors can potentially recover investment losses by…

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The Founder and Former CEO of GPB Capital Now Wants GPB Capital to Pay Legal Fees to Defend Him Against Criminal and Civil Fraud Charges

David Gentile, the disgraced founder and former CEO of GPB Capital Holdings LLC, has sued GPB Capital. Mr. Gentile seeks to make GPB Capital, which an independent court-appointed monitor is now overseeing, cover the legal costs for his defense against criminal and civil securities fraud. In February 2021, Mr. Gentile…

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Donna Jean Hines, Formerly with Cetera Advisors LLC, BARRED by FINRA – Clarksburg, WV

FINRA has barred former Cetera Advisors LLC broker Donna Jean Hines from the securities industry. Hines consented to the sanction and to the entry of findings that she refused to appear for on-the-record testimony in connection with FINRA’s investigation into whether she facilitated a customer’s bitcoin investment for compensation. The…

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Steven Musielski, Formerly with Cambria Capital, LLC, BARRED by FINRA – Anaheim, CA

FINRA has barred former Cambria Capital, LLC broker Steven Musielski from the securities industry. Musielski consented to the sanction and to the entry of findings that he refused to provide documents and information requested by FINRA in connection with an investigation into his sales practice activity. The FINRA findings stated…

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