Sterne Agee Financial Services (now SA Stone Wealth Management)

  • Robert Rex, Esq.

Richard Wesselt-Former O.N. Equity Sales/Sterne Agee Broker-Discloses $10M Customer Dispute-Collegeville, PA
Richard Wesselt-Former O.N. Equity Sales/Sterne Agee Broker-Discloses $10M Customer Dispute-Collegeville, PA 150 150 Robert Rex, Esq.

April 2020 – Collegeville, PA According to publicly available records  Richard Michael Wesselt  (CRD# 2195569) ,  a   registered stockbroker currently employed by Fortune Financial Services, Inc. disclose 4 pending customer disputes…

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  • Robert Rex, Esq.

Oppenheimer Ordered to Pay Customer $800,000 For Unauthorized and Unsuitable Trading
Oppenheimer Ordered to Pay Customer $800,000 For Unauthorized and Unsuitable Trading 150 150 Robert Rex, Esq.

June 2018-Chicago, Illinois A FINRA (Financial Industry Regulatory Authority)  arbitration panel ordered brokerage firm Oppenheimer & Co. to pay a customer $800,000 in compensatory damages. The customer alleged that Oppenheimer…

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  • Robert Rex, Esq.

Joseph C. Alexander-Sterne Agee Financial Broker-Discloses Customer Dispute
Joseph C. Alexander-Sterne Agee Financial Broker-Discloses Customer Dispute 150 150 Robert Rex, Esq.

July 2016-Pell City, Alabama The FINRA records of Joseph C. Alexander ,  a stock broker who is currently employed by Sterne Agee Financial Services, disclose  a currently pending customer dispute and a prior finalized customer…

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  • Robert Rex, Esq.

Thomas J. Dailey-Sterne Agee Financial Broker-Discloses $500K Customer Dispute
Thomas J. Dailey-Sterne Agee Financial Broker-Discloses $500K Customer Dispute 150 150 Robert Rex, Esq.

July 2016-Youngstown, Ohio The FINRA records of Thomas J. Dailey ,  a stock broker who is currently employed by Sterne Agee Financial Services, disclose  a currently pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…

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  • Robert Rex, Esq.

William R. Pintaric-Former WRP Investments Broker-Discloses Customer Dispute-Youngstown, OH
William R. Pintaric-Former WRP Investments Broker-Discloses Customer Dispute-Youngstown, OH 150 150 Robert Rex, Esq.

March 2019-Cuyahoga County, Ohio The FINRA records of William Richard Pintaric , (CRD 363876) a stock broker who is currently not registered and who previously worked for WRP Investments , disclose  2 prior regulatory events, a currently…

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  • Robert Rex, Esq.

Chazon Stein-Former Primex Stock Broker-Discloses Permanent Bar from Securities Industry-Boca Raton, FL
Chazon Stein-Former Primex Stock Broker-Discloses Permanent Bar from Securities Industry-Boca Raton, FL 150 150 Robert Rex, Esq.

July 2016-Boca Raton, Florida The FINRA records of Chazon Stein (also known as Chaz Stein, Chazoni Stein & Zoni Stein) , a  currently unlicensed stockbroker who last worked for  Primex , disclose a prior regulatory event and 2 prior…

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  • Robert Rex, Esq.

Phillip Dunwoody Cox- Former Sterne Agee Broker in Atlanta Sanctioned by Regulators
Phillip Dunwoody Cox- Former Sterne Agee Broker in Atlanta Sanctioned by Regulators 150 150 Robert Rex, Esq.

July 24,  2015- Atlanta, Georgia Phillip Dunwoody Cox, Jr.  ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he…

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  • Robert Rex, Esq.

Shaun Paul Golden-Former NEXT Financial Group Broker Sanctioned by Regulators
Shaun Paul Golden-Former NEXT Financial Group Broker Sanctioned by Regulators 150 150 Robert Rex, Esq.

UPDATE FEBRUARY 2017-RIverhead, New York In February 2017 the Florida Office of Financial Regulation entered a Final Order against Shaun Paul Golden permanently barring him from applying for registration.  Case#…

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