Steve Allen Moise Barred by Securities Regulators 

FINRA Bars Joseph Stone Broker Steve Allen Moise after Allegations of Broker Misconduct  

According to public documents, the Financial Industry Regulatory Authority (FINRA) has barred financial advisor Steve Allen Moise (CRD #4995443) from the securities industry. FINRA is the self-regulator that oversees brokers and brokerage firms.   

According to FINRA, Moise was reportedly suspended on February 24, 2023 from associating with any FINRA member firm in all capacities. The suspension reportedly turned automatically to a bar on May 3, 2023. Moise’s broker report does not state the reason for the suspension/bar, however, he reportedly has three customer complaints filed against him. Allegations include unauthorized trades, excessive trading and unsuitable investments among others. 

Steve Allen Moise – FINRA BrokerCheck Profile      

The FINRA BrokerCheck tool is a free online tool that allows investors to research and verify the background and credentials of financial brokers, brokerage firms, and investment advisors registered with FINRA.      

BrokerCheck provides investors with detailed information about the professional history, qualifications, and regulatory actions of brokers and brokerage firms. Investors can use the tool to verify whether a broker or brokerage firm is registered with FINRA, as well as to review their employment history, licensing status, and any regulatory actions or complaints filed against them.      

According to Steve Allen Moise’s FINRA broker report, he was affiliated with the following firms among others:   

07/07/2016 – 10/05/2022, JOSEPH STONE CAPITAL L.L.C. (CRD#:159744), MINEOLA, NY,   

B, 07/23/2014 – 07/06/2016, SPARTAN CAPITAL SECURITIES, LLC (CRD#:146251), GARDEN CITY, NY  

B, 08/08/2013 – 07/10/2014, SALOMON WHITNEY LLC (CRD#:145012), FARMINGDALE, NY  

B, 08/27/2012 – 06/24/2013, DALTON STRATEGIC INVESTMENT SERVICES INC. (CRD#:23485), HUNTINGTON, NY  

FINRA Attorneys to Recover Investment Losses     

When brokers violate securities laws, such as making unsuitable investments, the brokerage firm they are working with may be liable for investment losses through FINRA Arbitration. FINRA arbitration is generally a faster and less expensive alternative to traditional litigation.      

If your broker has defrauded you, you may be able to file a claim with FINRA to seek resolution through arbitration. FINRA arbitration can be a complex and technical process, and having an experienced attorney who is knowledgeable about securities law can greatly increase your chances of success.          

The FINRA attorneys at the White Law Group can help you with many aspects of the arbitration process including evaluating the merits of your claim and determining whether you have a strong case for arbitration.          

The White Law Group can assist you in drafting a statement of claim that accurately reflects the allegations of fraud and the damages you are seeking. They will also represent you at the arbitration hearing, present evidence and make arguments on your behalf. They may be able to negotiate a settlement for you before going to arbitration.     

If you have suffered losses investing with Steve Allen Moise, the securities attorneys at the White Law Group may be able to help you. For a free consultation with a securities attorney, please call (888) 637-5510.
              
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. Since the firm launched in 2010, it has handled over 700 FINRA arbitration cases.         

Our firm represents investors in all types of securities related claims, including claims involving stock fraud, broker misrepresentation, churning, unsuitable investments, selling away, and unauthorized trading, among many others.          

With over 30 years of securities law experience, The White Law Group has the expertise to help investors defrauded in securities, investment and financial business transactions attempt to recover their investment losses.  For more information, please visit our website, whitesecuritieslaw.com.