FINRA found that Eric Kleiner (CRD 4135180) refused to provide documents and information it requested during an investigation. Without admitting or denying the findings, Kleiner consented to the sanction and to the entry of findings.
In a press release dated August 13, 2020, the Securities and Exchange Commission (SEC) announced charges against ROSS ADAM BARISH (ROSS BARISH) CRD#: 3094364, who is currently a registered representative with Joseph Stone Capital, LLC, located in Mineola, New York, for allegedly defrauding sixteen retail clients.
The SEC's complaint against ROSS BARISH alleges that he engaged in a high-cost, in-and-out trading strategy in client accounts without conducting reasonable due diligence to determine if the trading strategy could deliver even a small profit for his clients.
According to the SEC complaint, ROSS BARISH also engaged in widespread unauthorized trading in client accounts. The SEC states in the complaint, Barish's strategy resulted in over $800,000 in losses to clients, while Barish made over $400,000 in commissions.
The SEC's complaint, filed in federal court in Manhattan, charged ROSS BARISH with violations of the antifraud provisions of Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5. The SEC's complaint seeks permanent injunctive relief, disgorgement plus prejudgment interest, and civil penalties.
According to FINRA’s BrokerCheck, available to the public on FINRA’s website, ROSS BARISH has 6 disclosures on his CRD report. Of the 6 disclosures, 4 are Customer Disputes, one is a Judgement/Lien, and one is an Investigation by the SEC.
Barish has been in the securities industry for 21 years and was listed with 7 firms. He is currently listed with the following firm since 2/26/2013:
JOSEPH STONE CAPITAL L.L.C.
200 OLD COUNTRY ROAD SUITE 610
MINEOLA, NY 11501
ROSS BARISH was previously listed with:
10/17/2008 - 02/26/2013 FIRST MIDWEST SECURITIES, INC. - GARDEN CITY, NY
If you’ve experienced losses due to the actions or recommendations of the JOSEPH STONE CAPITAL LLC of Mineola, New York, broker ROSS BARISH, contact Soreide Law Group and speak to an experienced securities lawyer at no cost regarding the possible recovery of your investment losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group represents our clients nationally before FINRA on a contingency fee basis—no fee to you if no recovery.
FINRA found that Eric Kleiner (CRD 4135180) refused to provide documents and information it requested during an investigation. Without admitting or denying the findings, Kleiner consented to the sanction and to the entry of findings.
James Simmons (CRD 2438224) says he is not a respondent in a pending arbitration that appears on his BrokerCheck report. A claimant filed it on September 15, 2026, and the disclosure names Alexander Capital as the firm. The allegations are unproven, and no arbitrator has ruled on them. His statement disputes the claimant's account.
Diana Leon's BrokerCheck report shows a $700,000 settlement of a structured note arbitration in September 2026. Leon's CRD number is 4857407. The disclosure names Woodbury Financial as the firm, as do the other disputes on her report. Each involves structured notes, and each settled in September 2026.
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