Advisor Alert: Our Attorneys Are Investigating Shaun Evan Stein For Investment Fraud
Did You Lose Money Because of Shaun Stein?
Filed: January 30, 2024
Shaun Stein currently has one (1) pending customer complaint. Overall, he has been the subject of three (3) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.
Let’s begin our Patil Law Advisor Alert with a summary report on Shaun Evan Stein.
Who Is Shaun Evan Stein of B. Riley Wealth Management?
- Advisor Name: Shaun Evan Stein
- Aliases: Shaun Stein
- CRD: 4873578
- Location: Jersey City, New Jersey
- Current Employer: B. Riley Wealth Management
- Previous Firms: National Securities Corporation, Meyers Associates, L.P., and Alexander Capital, L.P.
- Number of Known Customer Complaints: 3
- Can Shaun Stein Be Sued: Yes, in Private Arbitration
- Can Shaun Stein’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
- Highest Damages Allegation: $750,000
- Highest Settlement: $25,000
If you have suffered investment losses by Shaun Stein, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a stockbroker fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.
Customer Complaints Filed Against Shaun Stein For Broker Misconduct
As of this publication date, Shaun Stein has been the subject of 3 customer disputes. Let’s review them below.
In December 2023, a FINRA arbitration was filed against or in reference to Shaun Stein by a customer of National Securities Corporation alleging excessive trading losses. Per the customer, he/she lost over $722,528 because of Mr. Stein’s actions. As of this publication date, this claim remains pending.
In May 2020, a FINRA arbitration was filed against or in reference to Shaun Stein by a customer of National Securities Corporation alleging suitability. Per the customer, he/she lost over $750,000 because of Mr. Stein’s actions. On October 5, 2021, Mr. Stein settled the claim for $20,000, and some or all of this amount may have been paid by Mr. Stein’s employer and/or insurance carrier.
In March 2020, a FINRA arbitration was filed against or in reference to Shaun Stein by a customer of National Securities Corporation alleging suitability. Per the customer, he/she lost over $100,000 because of Mr. Stein’s actions. On August 27, 2021, Mr. Stein settled the claim for $25,000, and some or all of this amount may have been paid by Mr. Stein’s employer and/or insurance carrier.
How To File A Claim Against Shaun Stein of B. Riley Wealth Management (previously with National Securities Corporation, Meyers Associates, L.P., and Alexander Capital, L.P.) To Get Your Money Back
If you have questions about Shaun Stein, B. Riley Wealth Management, National Securities Corporation, Meyers Associates, L.P., Alexander Capital, L.P., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.