Adam Kenneth Stern (CRD#1726306) and AEGIS CAPITAL CORP.

The Securities Lawyers at Halling & Cayo, S.C. are interested in talking to customers that believe that they may have potential claims against Adam Kenneth Stern (CRD#1726306) related to securities recommended or sold to you. Previously Reported Complaints include:

Claim(s) Made Against Adam Kenneth Stern:

Claim Date: 2/4/2026

“Time frame: Unspecified. Claimant, a former registered person who is permanently barred from the securities industry, alleges certain investments he made between 7 and 13 years prior to the filing of the statement of claim, most, if not all, of which the Member firm he was affiliated with served as a selected dealer, were unsuitable.”

This claim, as of this posting, is currently Pending with a claim amount of $10,364,391.00 .

Claim Date: 11/5/2025

“Claimant alleges unsuitable investment, breach of fiduciary duty, breach of contract, misrepresentation and omission, overconcentration”

This claim, as of this posting, is currently Pending.

As of 5/26/2026, this claim status is Withdrawn.

See more information on FINRA’s BrokerCheck site for Adam Kenneth Stern.

Were you a customer of Adam Kenneth Stern?

The Securities Lawyers at Halling & Cayo S.C. bring claims on behalf of individual(s) and/or groups of investors for recovery of their funds. Most customers will have signed a FINRA arbitration agreement to resolve disputes, including claims for reimbursement of investment losses. As the SEC reminds investors, it can be important to find an attorney that “specializes in resolving securities complaints.” (See our video, What are the steps of a FINRA Arbitration.) If you were a customer of Adam Kenneth Stern and AEGIS CAPITAL CORP. and suffered investment losses, please contact the Securities Lawyers. We only get paid if we recover your money. Your claim may be subject to a time limit or statute of limitations, so contact an attorney right away.
Learn about potential claims for investment recovery, Types of Broker Misconduct and Fraud , or about the FINRA arbitration process, Guide to the FINRA Arbitration Process .

If you had a negative experience or issue with Adam Kenneth Stern and AEGIS CAPITAL CORP. from NEW YORK, NY, the Securities Lawyers at Halling & Cayo, S.C. may be able to help you. Brokerage firms have a duty to supervise all registered representatives, such as Adam Kenneth Stern, and ensure that they follow all securities rules and regulations and internal policies. Liability for the losses sustained by its customers extends to the Brokerage Firm that the broker was registered with at the time of the breach of his/her standard of care. (We explain in more detail in our video, Do you dare sue your broker?.)

Contact The Securities Lawyers

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Sean M. Sweeney is a shareholder at Halling and Cayo, a full service law firm in Milwaukee, WI and the head of its Securities Litigation team.

He represents individual and institutional investors in FINRA arbitration and court nationwide. He recovers investment losses from fraud or breach of duty from their broker-dealer.

Contact him at (414) 755-5020 or via e-mail at SMS@hallingcayo.com to see if he can help recover your funds.

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