DID IMTIAZ A. KHAN CAUSE YOU INVESTMENT LOSSES?
Imtiaz Khan Of Joseph Stone Capital And Formerly With Windsor Street Capital Has A Customer Complaint For Alleged Broker Misconduct
Who is Imtiaz Khan of Joseph Stone Capital?
Imtiaz Khan (CRD #4084250) who is currently registered with Joseph Stone Capitaland located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Joseph Stone Capital, Imtiaz Khan was associated with Windsor Street Capital and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. He was also the subject of a FINRA investigation and was sanctioned for acting in a principal capacity without being properly registered. The sanction was a 35 day suspension and $20,000 fine.
Imtiaz Khan Customer Complaint
Imtiaz Khan has also 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 the following actions: unsuitability and overconcentration, commission abuse, failure to supervise & control person liability, breach of fiduciary duty, negligence, fraudulent misrepresentation, breach of contract, respondent superior. Imtiaz Khan’s customer complaint was settled in favor of the investors.
Imtiaz Khan Red Flags & Your Rights As An Investor
Of course, Imtiaz Khan 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 Imtiaz Khan at Joseph Stone Capital and Windsor Street Capital on alert to review carefully the activity and performance of their accounts and question whether Imtiaz Khan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Joseph Stone Capital and Windsor Street Capital 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 Imtiaz Khan
If you have questions about Joseph Stone Capital, Windsor Street Capital, and/or Imtiaz Khan 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.