RedFlags, Allegations and Complaints against RANDALL PETER STERN
Disclosure #1 for RANDALL STERN
- eventDate: 5/26/2010
- Disclosure Type: Employment Separation After Allegations
- Disclosure Resolution:
- Disclosure Detail :: Firm Name: ASCENDIANT SECURITIES, LLC
- Termination Type: Discharged
- Allegations: IT APPEARS THAT THE REPRESENTATIVE FAILED TO FOLLOW THE FIRM’S SUPERVISORY PROCEDURES.
- Broker Comment: THE ANSWER TO QUESTION 14J SHOULD BE NO, AS MR. STERN RESIGNED FROM HIS FORMER BD AND HIS RESIGNATION WAS ACCEPTED BY THE FIRM, IN WRITING. THEREAFTER, IN ORDER TO GAIN LEVERAGE IN AN UNRELATED LAWSUIT, THE FIRM FALSELY CLAIMED THAT STERN WAS FIRED. THE UNDERLYING LAWSUIT HAS BEEN TERMINATED AS TO MR. STERN, IN MR. STERN’S FAVOR.
Should I file a FINRA complaint against brokers like RANDALL PETER STERN?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
Update – 2022.11.15If you have suffered investment losses that may have been caused by RANDALL PETER STERN’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!
Frequently Asked Questions About RANDALL PETER STERN
What is RANDALL STERN’s Central Registration Depository (CRD) Number?
Which firm is RANDALL PETER STERN associated with?
CANDLEWOOD SECURITIES, LLC
Where is RANDALL STERN located?
600 SUPERIOR AVE. E, SUITE 1800, CLEVELAND, OH, 44114
Where can I find more details about RANDALL STERN’s Investment Firm?
Visit https://brokercheck.finra.org/firm/summary/126042 to read a detailed report for CANDLEWOOD SECURITIES, LLC
Are there any disclosures, allegations or complaints filed against RANDALL PETER STERN?
Where can I download a detailed FINRA report for RANDALL STERN?
Is it safe to do business with RANDALL PETER STERN?
We’re not sure. Please research RANDALL STERN’s disclosures, allegations and complaints before taking a decision
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