Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Stern (Stern), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Stern recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on November 05, 2025.
Claimant alleges unsuitable investment, breach of fiduciary duty, breach of contract, misrepresentation and omission, overconcentration