Tag Archives: Sterne Agee & Leach Inc.

Investors Sue Sterne Agee Leach For Fraud

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. […]

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Sterne Agee Stockbroker Fined For Bad Recommendations

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 […]

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Customer Sues Sterne Agee For Misrepresentation

September 15, 2017  |   Posted by :   |   Variable Annuites   |   0 Comments

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. […]

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Sterne Agee Stockbroker Suspended For Unsuitable Recommendations

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 […]

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