Sterne Agee Financial Services, Inc.
Investment Losses Caused by Sterne Agee
Sterne Agee Financial Services (also known as Sterne, Agee & Leach, Inc.) CRD# 18456 is a registered broker dealer operating out of Birmingham, Alabama. Sterne Agee has many other locations throughout the United States, including Indiana, Arkansas, Minnesota, California, Ohio, and beyond. Stern Agee Financial has been operating since January 22, 2002.
Sterne Agee is in control of, controlled by, or under common control with the following corporations:
- WRP Investments Inc.
- Sterne Agee Insurance Consulting
- Sterne Agee Solutions
- FBC Mortgage LLC
- The Trust Company of Sterne Agee Inc.
- Sterne Agee Financial Services, Inc.
- Sterne Agee Clearing
- Sterne Agee Asset Management
- Sterne Agee UK
Sterne Agee Broker Fraud and Investment Misconduct
Sterne Agee and its affiliates have six formal regulatory events and three formal arbitrations in its history. Most recently, in December 2013, Sterne Agee was fined $75,000 for supervisory system failures and other industry violations. In April 2013, Sterne Agee was fined $50,000 for failing to use reasonable diligence when dealing with customers.
Sterne Agee's most recent arbitration was initiated in July of 2006. The plaintiff claimed that their broker was negligent, omitted certain pertinent facts, and failed to supervise. They were awarded $182,567.
Recover Your Losses with the Help of Meyer Wilson
If you lost a substantial amount of money after investing your money with Stern Agee Financial Services or one of its affiliates, contact a securities litigation attorney at Meyer Wilson. We handle cases in state court, federal court, through arbitration, and mediation as well.
To learn if you have a case, call us at (800) 738-1960 or contact us online to request a free case review.
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Over a Thousand Investor Claim Cases Since 1999
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Deep Bench of Skilled Attorneys and Staff Members
Jury Verdict Won Against Prudential Securities $262 Million
Recovered for 100-Year Old Widow $30 Million
Recovered in Retirement Losses $10 Million
Recovered for a Large Group of Individual Investors $6.5 Million
Recovered for Elderly Victim in Ponzi Scheme Case $3.8 Million
Recovered for Elderly Ponzi Scheme Victim $3.2 Million
Recovered for More Than 50 Families of Ponzi Scheme in California $3.2 Million
Recovered for 35 Families in Northeast Ohio $3.1 Million
Losses Recovered for 20 Retirees $3 Million
Recovered for Retired Physician Against Major Wall Street Firm Prior to Filing FINRA Arbitration $2.5 Million