The securities fraud attorneys at Meyer Wilson are currently investigating claims against former Sterne Agee broker Dean Mustaphalli (CRD# 2792038).
Former Sterne Agee Financial Services, Inc. broker Dean S. Mustaphalli (CRD# 2792038) has been the subject of 16 customer disputes and a regulatory action from FINRA that resulted in a two-year suspension.
Mustaphalli was a Sterne Agee broker out of Forest Hills, NY from December 2009 to September 2011. According to the FINRA Department of Enforcement, Mustaphalli formed and managed a hedge fund without obtaining approval from his brokerage firm. He also allegedly sold limited partnership interests in the hedge fund to brokerage firm clients.
In addition to the FINRA action, Mustaphalli has also been the subject of 16 customer disputes between 2001 and 2015.
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