Articles Tagged with Michael Stern

Michael SternAccording to records provided by FINRA (the Financial Industry Regulatory Authority) on February 16, 2016, former Florida-based Herbert J. Sims broker Michael Stern is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Stern (CRD# 2273485).

Michael Stern has spent 22 years in the securities industry and was most recently registered with Herbert J. Sims & Company in Boca Raton, Florida (2013-2016). Previous registrations include Newbridge Securities Corporation in Boca Raton, Florida (2004-2013); CGF Securities in Boca Raton, Florida (2002-2004); Ladenburg Capital Management in Bethpage, New York (2002); Ladenburg Thalmann & Company in New York, New York (1998-2002); JW Charles Securities in Boca Raton, Florida (1995-1998); Dean Witter Reynolds in Purchase, New York (1993-1995); and Biltmore Securities in Ft. Lauderdale, Florida (1992-1993). Two of Mr. Stern’s former employers, Biltmore Securities and CGF Securities, have since been expelled by FINRA. He is currently not a registered broker with any state or firm. Continue Reading