Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with SA Stone Wealth Management (f/k/a Sterne Agee Financial Services). If you suffered losses investing with SA Stone Wealth Management (f/k/a Sterne Agee Financial Services), then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
SA Stone Wealth Management (f/k/a Sterne Agee Financial Services) (CRD# 18456) (SEC# 8-36638)
As of April 4, 2020, SA Stone Wealth Management (f/k/a Sterne Agee Financial Services)’s FINRA BrokerCheck Report contains the following:
8 Regulatory Event Disclosures
Civil Event Disclosures
4 Arbitration Disclosures
Bond Disclosures
Main Office Location
2 PERIMETER PARK SOUTH
SUITE 500 WEST
BIRMINGHAM, AL 35243
USA
Mailing Address
2 PERIMETER PARK SOUTH
SUITE 500 WEST
BIRMINGHAM, AL 35243
USA
Business Telephone Number
800-292-2411
Direct Owners and Executive Officers
INTL FCSTONE, INC., 100% OWNER
CARTER, JAY WILSON (CRD#:2412541), CHIEF EXECUTIVE OFFICER
DUNAWAY, WILLIAM JOHN (CRD#:6505923), DIRECTOR
HARROD, PATRICIA MARIE (CRD#:6180887), DIRECTOR
LYON, CHARLES MARTIN (CRD#:4000852), DIRECTOR
NGUYEN, XUONG THO (CRD#:2249867), DIRECTOR
O’CONNOR, SEAN MICHAEL (CRD#:2534352), DIRECTOR
PARKER, BRIAN LANE (CRD#:4635848), CHIEF COMPLIANCE OFFICER, ROSFP
RICHARDSON, MARCUS BRYANT (CRD#:3037932), CHIEF OPERATING OFFICER
WAGSTAFF, CONNER FRED III (CRD#:1427591), CFO/TREASURER/FINOP
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with SA Stone Wealth Management (f/k/a Sterne Agee Financial Services) and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
This information is all publicly available and is being provided to you by Galvin Legal, PLLC.
Galvin Legal, PLLC is a national securities arbitration, securities mediation, securities litigation, securities fraud, securities regulation and compliance, and investor protection law practice. For more information on Galvin Legal, PLLC and its representation of investors, please visit www.galvinlegal.com or call 1-800-405-5117.
