Harold Steve Jones Jr. of New York New York a stockbroker formerly employed by Windsor Street Capital is referenced in a customer initiated investment related civil action brought in the Pine County District Court in which the customer sought $171,851.00 in damages founded on allegations that Jones engaged in sales practice violations or other unlawful conduct with regard to the stock and over-the-counter equities transactions placed in the customer’s investment portfolio while Jones was registered with Windsor Street Capital. Civil Action No. 58:CV-18-327 (July 23, 2018).

Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally confirms that on October 3, 2016, a customer filed an investment related complaint concerning Jones’ conduct where the customer requested $5,000.00 in damages based upon accusations that while Jones was associated with Meyers Associates LP, Jones neglected to abide by the customer’s investment instructions with regard to over-the-counter equities.

Jones’ registration with Windsor Street Capital LP was terminated on May 31, 2018. Between May 21, 2018 and August 28, 2018, Jones was associated with Joseph Stone Capital L.L.C. He has been employed by Spartan Capital Securities LLC since July 26, 2018. Since May 16, 2003, Jones has been associated with twelve different broker dealers, eight of which have been expelled by securities regulators for violation of federal securities laws or are otherwise defunct. #cockroach

In particular, Windsor Street Capital was disqualified because of a Securities Exchange Commission (SEC) Order Making Finding and Imposing Remedial Sanctions based upon findings that the firm, inter alia, engaged in the unlawful sale of several hundred million penny stocks; conduct violative of Securities Act of 1933 Section 5.

The information contained herein has been obtained from reliable sources however may not be accurate and is not guaranteed by us. Readers are encouraged to undertake their own independent investigation and evaluation of the relevant facts. All claims and allegations are subject to adjudication, decisions may be subject to appeal, and no inference is intended, nor should any inference be made from any information contained herein from any source.

This posting and the information on our website is for general information purposes only. This content should be not considered legal advice, and any responses, comments, e-mails, other communications do not form any attorney client relationship. Attorney Advertisement. See Important Disclaimer.

Guiliano Law Group, P.C.

Our practice is limited to the representation of investors. Over the last three decades, we have recovered more than a hundred million dollars for more than 1,000 injured investors from all over the United States and several foreign countries. We accept representation purely on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a confidential consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.

For more information concerning common claims against stockbrokers and investment professionals, please visit us at stockbrokerfraud.com

To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com

Stockbroker Fraud. Securities Arbitration and Investment Fraud Lawyers.  
National Practice. Contingent Fee. Confidential Free Consultation. (877) SEC-ATTY

Tags: ,

No comments yet.

Leave a Reply

Name (required)

Email (will not be published) (required)

Website

%d bloggers like this: