Joseph Ambrosole, Financial Advisor/Broker Joseph Ambrosole Suspended from Securities Industry

Joseph Ambrosole, Financial Advisor Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses

Joseph Ambrosole CRD #5732488

Joseph Ambrosole has been licensed with Joseph Stone Capital L.L.C. since 2017. FINRA reports that Joseph Ambrosole was suspended from the securities industry for one month on February 21, 2017. FINRA reports that Joseph Ambrosole consented to the sanctions and to the entry of findings that Joseph Ambrosole executed five unauthorized trades in the account of a customer. The findings stated that Joseph Ambrosole sold four securities owned by the customer and used the proceeds from those sales to purchase a UIT on behalf of the customer, all without the customer’s authorization.

FINRA reports that two arbitration claims involving Joseph Ambrosole’s conduct have settled. FINRA reports that these arbitration claims alleged common law fraud, breach of fiduciary duty, negligence, breach of contract, churning and/or overconcentration. FINRA reports that these two arbitration claims both settled, with one settling for $54,900 and Joseph Ambrosole contributing $30,000 to this settlement. 

If you lost any money on investments with Joseph Ambrosole, you may be able to recover your losses. If you lost money on investments with Joseph Ambrosole and believe that the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Joseph Ambrosole’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any

Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Joseph Ambrosole and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.

Joseph Ambrosole, Unsuitable Investment Advice, Investment Fraud, Churning, Misrepresentation and Omission of Material Facts, Elder Fraud, Unauthorized Trading, Theft, Selling Away, Unapproved Outside Business, Nationwide, SEC, Joseph Ambrosole

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