Rex Securities Law Investment Fraud Attorney Investigates Michael Stolberg a Financial Advisor with Private Client Services

Rex Securities Law Investment Fraud Attorney Investigates Michael Stolberg a Financial Advisor with Private Client Services

Rex Securities Law Investment Fraud Attorney Investigates Michael Stolberg a Financial Advisor with Private Client Services 150 150 Robert Rex, Esq.

Last Updated: January 2024 (Overland Park, KS)

Michael Stolberg Investigation Summary

Here’s what you need to know about Overland Park, KS, stockbroker Michael Stolberg:

  • Name: Mr. Michael Thomas Stolberg
  • Current Employer: Private Client Services, Private Capital Investment Advisors
  • Previous Firms: Cambridge Investment Research, Lawing Financial, The O.N. Equity Sales Company
  • Function: Stock Broker/ Financial Advisor/ Registered Investment Advisor
  • Aliases: Michael Stolberg
  • Primary Location: Overland Park, KS
  • CRD 5678544
  • Can Michael Stolberg be sued in FINRA arbitration: Yes
  • Sanctioned by FINRA: No
  • Pending Customer Dispute Seeks Damages of $500,000

Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.

Did You Lose Money With Michael Stolberg As Your Stockbroker?

In 10/2023 a customer of former employer Cambridge Investment Research filed a FINRA arbitration alleging that Michael Stolberg recommended an unsuitable real estate investment causing losses of $500,000. This matter is currently pending.

Allegations of Broker Misconduct Against Michael Stolberg

A customer of Michael Stolberg has alleged the following wrongdoing in connection with the handling of customer accounts:

  • Unsuitable Investment Recommendation

Firms Have a Duty to Supervise their Financial Advisors (FINRA Rules 3110 & 2090)

Brokers and their firms have a duty to comply with the FINRA suitability rule which requires that they have a reasonable basis to believe that a recommendation is suitable for the customer.

FINRA Rule 2111- suitability

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

Recover Your Investment Losses Now With Rex Securities Law

Investigations of other Cambridge Investment Research brokers

If you have suffered investment losses in an account handled by Michael Stolberg, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.

With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.

If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.

Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

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