Articles Tagged with Adam Stern

There are Recent Customer Complaints with Broker Adam Stern in Firm Thinkequity LLC / Aegis Capital Corp.

April 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Stern (Stern), currently associated with Thinkequity LLC / 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 with a damage request of $10,364,391.00 on February 04, 2026.

Time frame: Unspecified. Claimant, a former registered person who is permanently barred from the securities industry, alleges certain investments he made between 7 and 13 years prior to the filing of the statement of claim, most, if not all, of which the Member firm he was affiliated with served as a selected dealer, were unsuitable.

There are Recent Customer Complaints with Broker Adam Stern in Firm Aegis Capital Corp.

January 5, 2026 | by Staff Attorney

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