June 2020 -San Angelo, TX
The FINRA records of Gregory F. Estes , a stockbroker registered with SA Stone Wealth Management disclose a 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 5/2016 a customer of Sterne Agee Financial Services, Inc., filed a complaint alleging that Estes breached his fiduciary duties as financial advisor to the trustee of a trust which petitioner is the beneficiary, resulting in a loss of value. The case was settled for $95,000. Estes was personally responsible for $12,500 of that settlement.
Estes has been employed with Sterne Agee Investment Advisor Services since 6/2016 and with SA Stone Wealth Management since 6/2012.. Before that he was employed by Synergy Investment Group.
If you have questions about an account handled by Greg Estes call for a no charge consultation with an experienced securities attorney.
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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