Joseph Stone Capital, LLC

Date:

September 21, 2022

Type of alert:

FINRA AWC  

Joseph Stone Capital, LLC entered into a FINRA Acceptance, Waiver, and Consent. The firm allegedly failed to establish, maintain, and enforce a supervisory system and because of this, failed to identify excessive trading causing investors to pay over $1 million in fees, interest, and more. The firm consented, without admitting or denying the claims, to a censure and restitution.

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