HAUPPAUGE, NEW YORK

 Have you lost money with financial advisor Douglas Rosenberg, with Joseph Stone Capital in Hauppauge, New York?  We are looking into allegations made against Douglas J. Rosenberg. Rosenberg was the subject of an investigation by FINRA.  FINRA investigated whether Rosenberg had been excessively trading or churning customer accounts.  To settle these allegations, Rosenberg was suspended for seven months and ordered to pay partial restitution of $25,000.

Douglas Rosenberg has been with Joseph Stone Capital from November 2013 to the present.  He has worked at branch offices in Hauppauge, New York.  Rosenberg has also been the subject of four customer complaints.

Brokerage firms like Joseph Stone Capital have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in New York.  Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Joseph Stone Capital.

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If you lost money with Douglas Rosenberg or Joseph Stone Capital, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.