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Securities Arbitration Attorneys Our FINRA arbitration lawyers work with investors to recover losses caused by securities fraud, investment fraud, and other kinds of stockbroker misconduct.

Joseph Stone Capital

Did Joseph Stone Capital Charge You Excessive Markups or Commissions

Silver Law Group is investigating various commissions, markups and additional fixed commissions charged by Joseph Stone Capital and COR Clearing. Our investigation reveals that many investors were charged an additional fixed commission plus various other charges on trades made through COR Clearing, the clearing firm for Joseph Stone Capital.

The SEC requires fees your broker charges you to be fair and reasonable. However, exactly what’s fair is not always clearly defined. Fees impact your return and can reduce your return on investments and can have a significant impact on the overall return of your investments over time. Many brokerage firms charge several different fees which combined can be considered excessive.

Several years ago, FINRA fined several broker-dealers for mischaracterizing a portion of the commission charges as fees for handling services. No matter what the fee is for, over time, a markup, commission fee or charge can have a dramatic impact on a portfolio. These fees combined with a high level of trading can lend to charges of churning or unsuitability.

If You’ve Invested With Joseph Stone Capital

If you suffered significant financial losses with Joseph Stone Capital, you may have a claim for your investment losses. Silver Law Group has significant experience pursuing claims against broker-dealers including Joseph Stone Capital through FINRA or securities arbitration as well as class action lawsuits against issuers and other potential third parties. If you were a victim of a cold call or excessive trading, you may be able to recover your losses through securities arbitration.

Silver Law Group is a nationally-recognized securities law firm headquartered in South Florida representing investors worldwide with their claims for losses due to securities and investment fraud. The firm has successfully recovered multi-million dollar awards for its clients through securities arbitration and the courts. To contact Scott L. Silver to discuss your legal matter, call toll-free (800) 975-4345 or e-mail him at SSilver@silverlaw.com.

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