Lawrence William Waller II, of Atlanta, Georgia, a stockbroker registered with Stonex Securities Inc., formerly Stern Agee Financial Services, Inc. , is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $135,000.00 in damages based upon allegations that Waller breached his fiduciary duties…
Aaron Lupuloff of Atlanta Georgia a stockbroker formerly registered with Sterne Agee Leach Inc. is referenced in a customer initiated investment related arbitration claim in which the customer requested $5,005,000.00 in damages based upon allegations that the customer was defrauded by being sold taxable revenue bonds. Financial Industry Regulatory Authority (FINRA) Arbitration No. 18-02134 (Aug….
Andrew Jay Lowe of Centre Alabama a stockbroker formerly employed by Sterne Agee Financial Services LLC has been fined $20,000.00 and suspended for nine months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he made unsuitable investment recommendations. Letter of Acceptance Waiver and Consent…
Leland Roy Heathershaw of Aurora Colorado is a stockbroker formerly registered with Sterne Agee Financial Services Inc. who is the subject of a customer initiated investment related written complaint filed on March 13, 2015 in which the customer requested more than $5,000.00 in damages based upon allegations of poor investment performance and excessive commissions having…
Robert Scott Wilder of Atlanta, Georgia, a stockbroker formerly registered with Sterne Agee Financial Services, Inc., has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he sold away from his firm. Letter of Acceptance, Waiver and Consent,…
Robert Charles Stevens, of Norfolk, Virginia, a stockbroker formerly registered with Sterne, Agee & Leach, Inc., is the subject of a customer initiated investment related written complaint on August 19, 2016, based upon allegations that he misled the customer by making promises about the customer’s closed-end funds and variable annuity having been guaranteed against loss….
James Keith Cox, of Baton Rouge, Louisiana, a stockbroker formerly registered with Sterne, Agee & Leach, Inc., has been fined $10,000.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he made unsuitable investment recommendations to a firm’s customer and…
Dean Sadrudin Mustaphalli, of Forest Hills, New York, a stockbroker formerly registered with Sterne Agee Financial Services, Inc., has been named in a customer initiated investment related arbitration claim, which settled on December 1, 2015, for $400,000.00 in damages based upon allegations that Mustaphalli made misrepresentations to the customer concerning direct investment products, and effected…
William R. Pintaric Jr., of Youngstown, Ohio, a stockbroker formerly registered with WFP Investments, Inc., has been subject to a customer initiated investment related arbitration claim on April 1, 2016, in which the customer requested $345,000.00 in damages based upon allegations that Pintaric led customers to make significant sums of money in investments which were…
Gary L. Glover, of John’s Creek, Georgia, a stockbroker with Sterne Agee Financial Services, Inc., is subject to a pending customer dispute from August 12, 2015, in which a customer has requested $800,000.00 in damages in connection with allegations against Glover of making unsuitable tenancy in common or TIC investment recommendations. Public Disclosure records reveal…
Thomas J. Dailey, of Youngstown, Ohio, a stockbroker with Sterne Agee Financial Services, Inc., is subject to a pending customer dispute from December 7, 2015, in which a customer requested $500,000.00 in damages in connection with allegations against Dailey of making misrepresentations to customers regarding Florida Capital Real Estate Partnerships. The customers alleged to have…