TRAVIS J LIPPMANN (TRAVIS JUSTIN LIPPMANN) CRD#: 5908823, currently of JOSEPH STONE CAPITAL L.L.C. of New York, NY., according to FINRA’s BrokerCheck which is available to the public on FINRA’s website, has 3 disclosures on his FINRA CRD report. All three of the disclosures are “Customer Disputes.” The customer dispute filed in 2017 was denied. There was another customer dispute filed in August of 2019 that was withdrawn. A customer dispute was settled in January of 2020, following these allegations, “CLAIMANT ALLEGES BREACH OF FIDUCIARY DUTY, UNSUITABLE INVESTMENTS, MISREPRESENTATION, AND NEGLIGENCE.” This dispute settled for $90,000.00. Lippmann responded to the allegations on the CRD report.
TRAVIS J LIPPMANN has been in the securities industry for 10 years and has been listed with 8 firms. Before he joined Joseph Stone Capital in April of 2019, he was previously listed with Newbridge Securities in New York, from September of 2016 until April of 2017, and also Maxim Group, and Dawson James Securities. Earlier in Lippman’s career, he was employed by two firms that have since been expelled by FINRA, Global Arena Capital Corp., and John Carris Investments.
TRAVIS J LIPPMANN is currently registered with:
JOSEPH STONE CAPITAL L.L.C.
42 BROADWAY 3RD FLOOR, SUITE 301
NEW YORK, NY 10004
Joseph Stone Capital, LLC is registered with the Securities and Exchange Commission (SEC) as a broker/dealer. Joseph Stone Capital corporate office is located in 200 Old Country Rd, Ste 610, Mineola, New York.
If you’ve experienced losses due to the actions or recommendations of TRAVIS J LIPPMANN currently with Joseph Stone Capital of New York, New York, 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 works on a contingency fee basis and represents our clients nationwide before FINRA.
Steven Graham (CRD 1977736) denies the allegations in a pending customer claim filed on August 11, 2026. The disclosure names Western International Securities as the firm, and the claim involves corporate bonds. No arbitrator has ruled on it. His BrokerCheck report also lists a settled bond dispute and a federal court matter from earlier years.
A claim filed on September 11, 2024 names Thomas Hamlin (CRD 2208505) over a 10% Senior Unsecured Note in iCap Fund III. Every disclosure on his BrokerCheck report involves an iCap private placement and names Somerset Securities as the firm. Each one settled, and a settlement is not an admission of wrongdoing.
Peter Po's most recent settlement came on June 28, 2026, when a corporate bond claim settled for $40,000. Po (CRD 3106974) appears in several settled customer disputes over corporate and high-yield bonds. The disclosures name NI Advisors or California Securities as the firm, and each matter ended in a settlement, not a finding.
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