July 2016-San Diego, CA
The FINRA records of Steven P. Capozza , a stock broker employed by Keystone Capital Corporation , disclose a prior regulatory event, a prior customer dispute and a currently outstanding judgement/lien.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In NASD Case #4-5639 a customer of Capstone Investments alleged damages of $900,000 for losses related to an investment in a private placement offering. The case was settled for $250,600.
Capozza discloses an outstanding judgment for $170,000 in favor of Ascendiant Capital Markets, filed in Superior Court, Orange County, CA.
Capozza has been employed by Keystone Capital since 4/2015. Prior to that he was employed by Capstone Investments from 3/1997-4/2013
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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