Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on July 7, 2016 indicate that Florida-based Joseph Stone Capital broker Ryan Weiner is the subject of pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Weiner (CRD# 1534253).
Ryan Weiner has spent five years in the securities industry and has been registered with Joseph Stone Capital in Aventura, Florida since March 2016. Previous registrations include Laidlaw & Company in St. Petersburg, Florida (2013-2015); Hunter Scott Financial, which has since been expelled by FINRA, in Del Ray Beach, Florida (2012-2013); and Rockwell Global Capital in Farmingdale, New York (2010-2012). He is a registered broker in Florida and New York.
According to his BrokerCheck report, Ryan Weiner has received two pending customer complaints.
In March 2016, a customer alleged Ryan Weiner, while employed at Laidlaw & Company, executed unauthorized trading and churned the account. The customer is seeking $70,096 in damages in the pending complaint.
In January 2016, a customer alleged Ryan Weiner, while employed at Laidlaw & Company, misrepresented material facts and engaged in mismanagement. The customer is seeking $55,000 in damages in the pending complaint.
Federal securities law prohibits brokers like Ryan Weiner from making untrue or false statements that can mislead their clients, an act referred to as “misrepresentation.” This also includes omitting material facts regarding an investment, or the effect that an investment could have on the client’s finances. A “material fact” is a piece of information that would be a significant consideration for a reasonable investor in making a decision about an investment. Some examples include the risk level of a stock, the potential return on an investment, or the fees involved with the transaction. Brokers and investment advisers who misrepresent material facts may be subject to disciplinary action from FINRA, the Securities and Exchange Commission, or state authorities.
If you have complaints regarding Ryan Weiner, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. All cases are taken on contingency: we only receive payment if and when you recover money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.