The Securities Lawyers at Halling & Cayo, S.C. are looking into potential claims against Stephan A Stein (CRD#3238494) regarding allegations made regarding the following:
Claim(s) Made Against Stephan A Stein:
Claim Date: 4/21/2020
“Alleged that Mr. Stein failed to reasonably supervise a broker that sold them private placements in three funds”
This claim, as of this posting, is currently Withdrawn with a claim amount of $340,000.00 .
Claim Date: 4/16/2020
“Alleged that Mr. Stein failed to supervise brokers that sold a private placement in a fund in 2014 that purchased an interest in a company that declared bankruptcy in March 2016.”
This claim, as of this posting, is currently Award / Judgment with a claim amount of $1,060,000.00 .
Claim Date: 12/30/2022
“The Statement of Claim alleges that Mr. Stein failed to reasonably supervise the broker of record for this account.”
This claim is currently Pending with a claim amount of $2,100,328.00 .
