Tag Archives: Sterne Agee Financial Services

Triad Advisors Stockbroker Suspended For Selling Away

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, […]

Read More »

WFP Investments Named In Customer Securities Arbitration Claim

December 07, 2016  |   Posted by :   |   Securities Arbitration Claims   |   0 Comments

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 […]

Read More »