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
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.
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for ROCCO MICHAEL MASELLI, click here.
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.
How to choose a broker or investment adviser. Learn More