NEW YORK, NY
Have you lost money with financial advisor Todd Kling with Joseph Stone Capital in New York, NY? We are continuing to look into allegations made against Todd Kling, who has been the subject of an investigation by FINRA for excessively trading or churning customer accounts. To settle these allegations, Kling agreed to a three-month suspension from the securities industry.
Todd Kling was with Joseph Stone Capital from July 2016 to the present. He has worked at branch offices in New York, New York. Kling has also been the subject of four tax liens.
Brokerage firms like Joseph Stone Capital have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in New York. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Joseph Stone Capital.
Click to view: Kling, Todd BrokerCheck 9.5.21
Click to view: Kling, Todd FINRA AWC