Neal Scott, Formerly with Joseph Stone Capital, Suspended by FINRA
We are looking into allegations made about Neal Scott from New York, New York. FINRA (the Financial Industry Regulatory Authority) suspended Scott from the securities industry for three months and fined him $5,000. FINRA alleged that Scott failed to timely disclose several tax liens that were made against him.
Neal Scott was a financial advisor and registered representative of Joseph Stone Capital from May 2018 to September 2019. He worked in a branch office in New York, New York. Scott has been the subject of ten tax liens or judgments and three customer complaints. Scott was also permitted to withdraw his securities license in Maryland, and he also had a license registration denied in Virginia.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Ann Arbor, Michigan; and Phoenix, Arizona. We represent investors in FINRA arbitration proceedings in all 50 states, including throughout New York. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Joseph Stone Capital.