Articles Posted in Stockbroker Misconduct

Jeremy Fortner (CRD# 4811478) is a former registered broker and investment advisor whose last known employer was Wells Fargo Clearing Services, LLC (CRD#:19616) of Beverly Hills, CA. His previous employers include J.P. Morgan Securities LLC (CRD#:79) of Sherman Oaks, CA, Chase Investment Services Corp. (CRD#:25574) of both Encino and Los…

Michael Lian (Michael Emile Lian CRD# 2639356) is a previously registered broker whose last known employer was National Securities Corporation (CRD#:7569) of Clearwater, FL. His previous employers include Aegis Capital Corp. (CRD#:15007), National Securities Corporation (CRD#:7569), and Newbridge Securities Corporation (CRD#:104065), all in Red Bank, NJ. He has been in…

Douglas Rosenberg and Adam Maggio, brokers who currently work for and previously worked for Joseph Stone Capital, respectively, have been suspended. Both have been accused of churning accounts by customers. Douglas Rosenberg Douglas Rosenberg (Douglas Jarrett Rosenberg CRD# 3214215) is a registered broker currently registered with Joseph Stone Capital L.L.C.…

Joseph Audia (Joseph Scott Audia CRD# 2909761) is a registered broker currently employed with VCS Venture Securities (CRD#: 127921) of Hauppauge, NY. His previous employers include Joseph Stone Capital (CRD#: 159744), First Midwest Securities, Inc. (CRD#:21786), and American Capital Partners, LLC (CRD#:119249), also of Hauppauge. He has been in the…

David Khezri (CRD# 2736831) is a previously registered broker whose last employer was Network 1 Financial Securities Inc. (CRD#:13577) of Hauppauge, NY. His previous employers include Worden Capital Management LLC (CRD#:148366) of Melville, NY, Joseph Stone Capital L.L.C. (CRD#:159744) and Cape Securities Inc. (CRD#:7072), both of Holbrook NY. Currently, Khezri…

Anthony Graziano (Anthony Joseph Graziano CRD# 2862096) is a broker currently registered with Joseph Stone Capital L.L.C. (CRD# 159744) of New York, NY. His previous employers include National Securities Corporation (CRD#:7569) of Westbury, NY, Brookstone Securities, Inc. (CRD#:13366, expelled by FINRA 10/9/2012) of Garden City, NY, and Salomon Whitney LLC…

Narith Long (CRD# 6598152) is a previously registered broker whose last known employer was NY Life Securities LLC (CRD#:5167) of Glendale, CA. He was previously employed with Northwestern Mutual Investment Services, LLC (CRD#:2881) of Long Beach, CA, where he began his career in the industry in 2018. New York Life…

Todd Kling (Todd Franklin Kling CRD# 3034284) is a currently registered broker and investment advisor employed with Joseph Stone Capital L.L.C. (CRD#: 159744) in New York, NY. His previous employers include Royal Alliance Associates, Inc. (CRD#:23131), First Midwest Securities, Inc. (CRD#:21786), and FMSI Advisers (CRD#:21786), also of New York, NY.…

Joseph Fedorko (Joseph Michael Fedorko CRD#] 2007317) is a previously registered broker whose last known employer was Laidlaw & Company (UK) LTD. (CRD#:119037) of Greenwich, CT. His previous employers include Oppenheimer & Co. Inc. (CRD#:249) of Stamford, CT, Josephthal & Co., Inc. (CRD#:3227) and Gruntal & Co., L.L.C. (CRD#:372), both…

Mario Rivero Jr. (Mario Everildo Rivero Jr., CRD# 5856503), 38, is a former registered broker and investment advisor whose last known employer was LPL Financial LLC (CRD#:6413) of Red Bank, NJ. His only prior industry employment was with Wells-Fargo Clearing Services, LLC (CRD#:19616) of Elizabeth, NJ.  He has been in…