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Gary Menzer, Esq. is a Founding Partner with The Securities Law Firm of Menzer & Hill, P.A. The Firm represents aggrieved investors that have sustained investment losses due to the negligence of their stock broker or financial advisor and the failure to supervise by their Broker-Dealer. The... More
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  • Dean Mustaphalli Legal Update 1 comment
    Jul 13, 2014 11:45 AM

    An update for investors that sustained losses investing with former Sterne Agee Financial Services Inc. broker Dean Mustaphalli.

    Mustaphalli may be barred by the securities industry for allegedly running a $6 million hedge fund.

    Mustaphalli was allegedly running a hedge fund without the knowledge of Sterne Agee, therefore, Mustaphalli was able to run the fund without any supervisory systems put in place to protect the unsuspecting public.

    Fortunately for those investors that incurred losses investing with Mustaphalli, may be able to recover those losses through the FINRA arbitration process. Under FINRA rules and regulations, Broker-Dealers are responsible for supervising the actions of those advisors registered with their firm, and therefore may be held liable for the actions of Mustaphalli.

    Investors that have sustained losses investing with Mustaphalli should call for a free case evaluation to learn what options they may have in pursuing claims against Sterne Agee and/or Mustaphalli.

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  • KJP712
    , contributor
    Comments (460) | Send Message
    Dean was probably shorting the Market.His timing may have been off a little but that happens to the best of traders.If he was up 20% no one would run to a lawyer so quick.A product of his environment,this one.
    13 Jul 2014, 12:36 PM Reply Like
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