Articles Tagged with Sterne Agee

Thomas AyerPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on November 28, 2016 indicate that California-based Sterne Agee Financial Services broker Thomas Ayer is the subject of a pending customer dispute. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Ayer (CRD# 9243).

Thomas Ayer has spent 54 years in the securities industry and has been registered with Sterne Agee Financial Services in Oakland, California since August 2009. Previous registrations include Emmett A. Larkin Company in Oakland, California (2006-2009); AM Howells & Company in Oakland, California (1973-2006); and Smith Barney Harris Upham (1962-1973). He is a registered broker with four US states: California, Colorado, Oklahoma, and Washington.

According to his BrokerCheck report, Thomas Ayer has received one pending customer complaint.

John CorsiPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 4, 2016 indicate that former Ohio-based Sterne Agee Financial Services broker John Corsi is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Mr. Corsi (CRD# 1268728).

John Corsi has spent 22 years in the securities industry and was most recently registered with Sterne Agee Financial Services in Parma, Ohio (2014-2015). Previous registrations include WRP Investments in Parma, Ohio; WRP Investments in Youngstown, Ohio; Capital Analysts in Cincinnati, Ohio; H&R Block Financial Advisors in Detroit, Michigan; NEBS Financial Services in Cleveland, Ohio; Investacorp in Miami, Florida; WRP Investments in Youngstown, Ohio; and Intersecurities in St. Petersburg, Florida. He is currently not registered with any state or firm. Continue Reading

Gary HaindelPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 2, 2016 indicate that Louisiana-based Sterne Agee Financial Services broker/adviser Gary Haindel is the subject of a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Haindel (CRD# 2336360).

Gary Haindel has spent 23 years in the securities industry and has been registered with Sterne Agee Financial Services in Baton Rouge, Louisiana since May 2015. Previous registrations include Sterne Agee & Leach in Baton Rouge, Louisiana (2009-2015); Multi-Financial Securities Corporation in Baton Rouge, Louisiana (2009); Stanford Group Company in Baton Rouge, Louisiana (2000-2009); and Merrill Lynch in New York, New York (1993-2000). He is a registered broker and investment adviser in 11 US states and territories: Alabama, the District of Columbia, Florida, Georgia, Louisiana, Massachusetts, Mississippi, New York, Oklahoma, Pennsylvania, and Texas. Continue Reading

shutterstock_201329192The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ohio-based Sterne Agee broker/adviser Phillip Cox (CRD# 55898).

Phillip Cox has spent 43 years in the securities industry and has been registered with Sterne Agee Financial Services in Cincinnati, Ohio, since March 2015. Previous registrations include Cambridge Investment Research in Cincinnati (2001-2015); Eneric Financial Services in Fairfield, Iowa (1993-2001); MTL Equity Products in Evanston, Illinois (1990-1993); Washington National Equity Company in Evanston, Illinois (1987-1990); WS Griffith & Company in (1983-1987); Massachusetts Mutual Life Insurance Company (1977-1983); American Variable Annuity Life Assurance Company (1973-1976); SMA Equities (1973-1976); and Travelers Equities Sales (1971-1973).

According to his BrokerCheck report, Phillip Cox is the subject of one customer complaint, one regulatory sanction, and three customer complaints that were denied or withdrawn.

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