Our Staff has compiled our research into a database of FINRA Broker Disclosures for Joseph Stone Capital L.L.C.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Roger Thomas Spann | 2211632 | 12 | 01/23/2015 | Customer Dispute | Denied | $11,000.00 | $0.00 | See FINRA Report |
| Roger Thomas Spann | 2211632 | 12 | 07/30/2011 | Customer Dispute | Denied | $12,900.00 | $0.00 | See FINRA Report |
| Nigel Ronald James | 4490687 | 7 | 12/23/2008 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |
| Anthony Joseph Graziano | 2862096 | 6 | 03/07/2008 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| Roger Thomas Spann | 2211632 | 12 | 04/27/1999 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |