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Stephan Stein Of Joseph Gunnar & Co. LLC Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Stephan Stein of Joseph Gunnar & Co. LLC?

Stephan Stein

Stephan Stein (CRD #3238494) who is currently registered as a broker with Joseph Gunnar & Co. LLC and located in New York, New York, is a subject of one of our many securities industry sales practice abuse investigations.

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Stephan Stein Customer Complaints

Stephan Stein has been the subject of 2 customer complaints that we know about to recover investment losses. One customer complaint proceeded to arbitration and resulted in an arbitration award against Joseph Gunnar and Co. and Stefan Stein in the amount of $512,000. The brokerage firm denied the other customer complaint and it appears the customer withdrew the allegations against Stefan Stein in the arbitration proceeding.

Allegations Against Stephan Stein

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Failure to reasonably supervise a broker that sold customers private placement investments.
  • Fraud, breach of fiduciary duty, negligence, strict liability, and failure to supervise another adviser in connection with a private placement investment which resulted in an arbitration award against the firm and the adviser, jointly and severally.

Stephan Stein Red Flags & Your Rights As An Investor

Of course, Stephan Stein did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Stephan Stein at Joseph Gunnar & Co. LLC on alert to review carefully the activity and performance of their accounts and question whether Stephan Stein has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Joseph Gunnar & Co. LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

Did You Lose Money Because of Broker Misconduct?

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If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

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or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At Joseph Gunnar & Co. LLC Due To Stephan Stein

If you have questions about Joseph Gunnar & Co. LLC and/or Stephan Stein and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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