Kurt Stein Investigation
March 2022- New York, NY
The FINRA records of Kurt Anthony Stein, a Quint Capital Corporation broker, discloses 2 prior customer disputes and 1 pending customer dispute.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In November of 2021, FINRA case #21-02872 was filed by a National Securities Corporation customer alleging that Stein made unsuitable recommendations in real estate secuerities. The customer seeks damages of $300,000 and the case is still pending.
In November of 2019, FINRA case #19-03502, filed by a National Securities Corp., customer alleged misrepresentation in the purchase of limited partnerships and direct investments. That case settled for $10,000.
In August of 2010, FINRA case #10-03697 was filed by a Merrill Lynch customer alleging misrepresentation in connection whit the sale of CDOs. The case was settled for $128,250.
Kurt Anthony Stein has been employed with Quint Capital since 7/2019. He was with Palladium Capital Advisors from 4/2019 -10/2019. Before that he was with National Asset Management, National Securities Corporation and Merrill Lynch.
If you have questions about an account handled by Kurt Anthony Stein call for a no charge consultation to learn more about your legal options.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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