Last Updated: September 2023 (Boca Raton, FL )
Sandy Steinberg Investigation Summary
Here’s what you need to know about Boca Raton, FL, stockbroker Sandy Steinberg:
- Name: Mr. Sanford Elliott Steinberg
- Current Employer: A.G.P./ Alliance Global Partners
- Previous Firms: Aegis Capital Corp. , Gunnallen Financial, Stanford Group Co.
- Function: Stock Broker/ Financial Advisor
- Aliases: Sandy Steinberg
- Primary Location: Boca Raton, FL
- CRD 834205
- Can Sandy Steinberg be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Pending Customer Dispute Seeks Damages of $368,000
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Sandy Steinberg As Your Stockbroker?
In 12/2022 a customer of Alliance Global Partners file a FINRA arbitration alleging that Sandy Steinberg failed to meet his suitability obligations by placing them in unsuitable and complex products including structured notes. The customers seek $368,000 in this currently pending matter.
Allegations of Broker Misconduct Against Sandy Steinberg
Customers of Sandy Steinberg have alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendation to invest in structured notes
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
If you have suffered investment losses in an account handled by Sandy Steinberg, contact us for a complimentary consultation with an experience 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.
