{"id":10539,"date":"2022-04-05T10:25:41","date_gmt":"2022-04-05T14:25:41","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=10539"},"modified":"2022-04-05T10:25:41","modified_gmt":"2022-04-05T14:25:41","slug":"joseph-stone-capital-supervisor-joseph-audia-suspended-by-finra","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/joseph-stone-capital-supervisor-joseph-audia-suspended-by-finra\/","title":{"rendered":"Joseph Stone Capital Supervisor Joseph Audia Suspended By FINRA"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-10540 size-full\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2022\/04\/Joseph-Audia.png\" alt=\"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 industry since 1997.  FINRA recently sanctioned Audia after allegations that he failed to supervise a representative in his division while employed with Joseph Stone Capital. The representative continually churned and excessively traded in a specific customer\u2019s account.  The Acceptance, Waiver &amp; Consent (AWC) letter detailed the allegations. During his tenure as branch manager, Joseph Audia received daily trading blotters. He failed to review these blotters, as well as failed to review and investigate instances of excessive trading by one representative. Audia also failed to enforce restrictions placed on the representative after the firm discovered the excessive trading. Two examples of this failure were detailed in the AWC:\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2022\/04\/Joseph-Audia.png 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2022\/04\/Joseph-Audia-180x120.png 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>Joseph Audia (Joseph Scott Audia CRD# <a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/2909761\" target=\"_blank\">2909761<\/a>) 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 industry since 1997. <a href=\"https:\/\/www.silverlaw.com\/blog\/joseph-stone-capital-supervisor-joseph-audia-suspended-by-finra\/#more-10539\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>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 industry since 1997. Continue reading [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[607,580],"tags":[],"class_list":["post-10539","post","type-post","status-publish","format-standard","hentry","category-failure-to-supervise","category-stockbroker-misconduct"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Joseph Stone Capital Supervisor Joseph Audia Suspended By FINRA &#8212;<\/title>\n<meta name=\"description\" content=\"Joseph Audia is a registered broker currently employed with VCS Venture Securities (CRD#: 127921) of Hauppauge, NY.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/joseph-stone-capital-supervisor-joseph-audia-suspended-by-finra\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Joseph Stone Capital Supervisor Joseph Audia Suspended By FINRA &#8212;\" \/>\n<meta name=\"twitter:description\" content=\"Joseph Audia is a registered broker currently employed with VCS Venture Securities (CRD#: 127921) of Hauppauge, NY.\" \/>\n<meta name=\"twitter:image\" content=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2022\/04\/Joseph-Audia.png\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Silver Law Group\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"3 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"Joseph Stone Capital Supervisor Joseph Audia Suspended By FINRA &#8212;","description":"Joseph Audia is a registered broker currently employed with VCS Venture Securities (CRD#: 127921) of Hauppauge, NY.","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/www.silverlaw.com\/blog\/joseph-stone-capital-supervisor-joseph-audia-suspended-by-finra\/","twitter_card":"summary_large_image","twitter_title":"Joseph Stone Capital Supervisor Joseph Audia Suspended By FINRA &#8212;","twitter_description":"Joseph Audia is a registered broker currently employed with VCS Venture Securities (CRD#: 127921) of Hauppauge, NY.","twitter_image":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2022\/04\/Joseph-Audia.png","twitter_misc":{"Written by":"Silver Law Group","Est. reading time":"3 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"Article","@id":"https:\/\/www.silverlaw.com\/blog\/joseph-stone-capital-supervisor-joseph-audia-suspended-by-finra\/#article","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/joseph-stone-capital-supervisor-joseph-audia-suspended-by-finra\/"},"author":{"name":"Silver Law Group","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"headline":"Joseph Stone Capital Supervisor Joseph Audia Suspended By FINRA","datePublished":"2022-04-05T14:25:41+00:00","mainEntityOfPage":{"@id":"https:\/\/www.silverlaw.com\/blog\/joseph-stone-capital-supervisor-joseph-audia-suspended-by-finra\/"},"wordCount":681,"image":{"@id":"https:\/\/www.silverlaw.com\/blog\/joseph-stone-capital-supervisor-joseph-audia-suspended-by-finra\/#primaryimage"},"thumbnailUrl":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2022\/04\/Joseph-Audia.png","articleSection":["Failure to 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