Published On: October 16, 2015

Stoltmann Law Offices is investigating Mindy Adelman, a former broker with Sterne Agee. Adelman entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA). Her AWC alleged that she impersonated more than a dozen customers in telephone calls with an insurance company, in order to obtain information about their accounts. Adelman did this by giving the insurance company pertinent and personal information about the clients and did it without the client’s consent or knowledge. For this she was suspended from the industry for one year and fined $7,500.

Adelman was registered with Hornor, Townsend & Kent in Hunt Valley, Maryland from July 2008 until November 2010 and Sterne Agee in Owings Mills, Maryland from October 2010 until September 2014. If you invested and lost money with Mindy Adelman, her former firm, Sterne Agee, can be held responsible for your losses. Please call our securities law offices at 312-332-4200 to speak to an attorney for a free consultation. There is no obligation and we take cases on a contingency fee basis. We sue firms such as Sterne Agee in the FINRA arbitration forum.

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