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Garrett Gaylor Formerly With Joseph Stone Capital And Cape Securities Has A Customer Complaint For Alleged Broker Misconduct

Who is Garrett Gaylor formerly with Joseph Stone Capital?

Garrett Gaylor (CRD #2276151) who was formerly registered with Joseph Stone Capital and located in Huntington, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Joseph Stone Capital, Garrett Gaylor was associated with Cape Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Garrett Gaylor has had his own problems with the regulators.  In August 2020, he consented to a permanent bar by the United States Securities and Exchange Commission (SEC) from participating in any offering of a penny stocks in the future.  It was alleged that Garrett Gaylor engaged in a high cost pattern of frequent trading, that he had no reasonable basis to believe is suitable for those customers.  He was ordered to pay disgorgement of over $264,000 and a fine of more than $10,000.

Garrett Gaylor Customer Complaint

Garrett Gaylor has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were breach of fiduciary duty; negligence; failure to supervise; vicarious liability. The customer complaint filed against Garrett Gaylor’s former employer Joseph Stone Capital for investment losses caused by the alleged misconduct is pending as of the date of this report.

Garrett Gaylor Red Flags & Your Rights As An Investor

Of course, Garrett Gaylor did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Garrett Gaylor at Joseph Stone Capital and Cape Securities on alert to review carefully the activity and performance of their accounts and question whether Garrett Gaylor has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Joseph Stone Capital and Cape Securities also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim To Recover Your Investment Losses At Joseph Stone Capital Due To Garrett Gaylor

If you have questions about Joseph Stone Capital, Cape Securities, and/or Garrett Gaylor and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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