Steve Moise with Joseph Stone Capital, Indefinitely Suspended
MINEOLA, NEW YORK
Are you a current or former client of financial advisor Steve Moise, who worked with Joseph Stone Capital in Mineola, New York?
Steve Moise has been indefinitely suspended by FINRA starting in February 2023 because he failed to respond to FINRA requests for information.
Steve Moise had been with Joseph Stone Capital beginning in July 2016, and he left the firm in October 2022. Moise worked in Mineola, New York. Moise has also had two customer complaints, in 2007 and 2012. Both complaints were denied by his former firms.
Moise must respond to FINRA investigations under FINRA Rule 8210. Failures to abide by these rules can result in suspensions or expulsions from the securities brokerage industry. Moreover, firms like Joseph Stone Capital have an obligation to reasonably supervise advisors like Moise.
Our law represents investors in FINRA arbitration proceedings all over the country. Our attorneys have recovered millions of dollars for investors against many brokerage firms in the past.
View Moise, s BrokerCheck 3.12.23