ROCCO MICHAEL MASELLI is currently employed as a Broker and/or Investment Adviser at JOSEPH STONE CAPITAL L.L.C. located at 200 OLD COUNTRY ROAD, SUITE 610, MINEOLA, NY, 11501.
ROCCO MICHAEL MASELLI has worked at JOSEPH STONE CAPITAL L.L.C. since August 03, 2015
Disclosure History
ROCCO MICHAEL MASELLI has 3 Disclosure Event(s).
Date: January 20, 2009 Category: Customer Dispute Allegations: ALLEGES UNAUTHORIZED TRADES, CHURNING, AND FRAUD IN 2003. Damage Amount Requested: $150,000.00 Settlement Amount: $14,999.00 08-05038
Date: September 09, 2005 Category: Customer Dispute Allegations: CLAIMANT FILED AN ARBITRATION CLAIMING IMPROPER HANDLING OF HIS ACCOUNT FOR A PERIOD OF EIGHT MONTHS COMMENCING ON JANUARY 2004. Damage Amount Requested: $60,000.00 Settlement Amount: $17,000.00 Broker Comment: CUSTOMER CLAIMS LOSS IN HIS PORTFOLIO. LOSS DUE TO MARKET DECLINE AND NOT AS A RESULT OF ANY IMPROPER ACTION OF THE FIRM OR ITS REPRESENTATIVE. SETTLED TO AVOID LENGTHY ARBITRATION.
Date: January 06, 2005 Category: Customer Dispute Allegations: CUSTOMER FILED AN ARBITRATION ALLEGING IMPROPER HANDLING OF HIS ACCOUNT. Damage Amount Requested: $115,000.00 Settlement Amount: $15,000.00 Broker Comment: I DENY ALL THE ALLEGATIONS STATED INTHE ARBITRATION. ALL TRANSACTIONS WERE AUTHORIZED BY THE CUSTOMER AND THE CUSTOMER WAS FULLY AWARE OF THE TRANSACTIONS IN HIS ACCOUNT.CUSTOMER SETTLED THIS ACTION TO AVOID LENGTHY ARBITRATION.
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