Erez Law is currently investigating former Aegis Capital Corp. broker Adam Stern (CRD# 1726306) regarding private placement losses. He has been registered with ThinkEquity LLC in New York, New York, since 2026. He was registered with Aegis Capital Corp. in New York, New York, from 2012 to 2026.
Adam Stern Customer Complaints
He has been the subject of two customer complaints between 2025 and 2026, one of which was withdrawn, according to his CRD report:
February 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.” The customer is seeking $10,364,391 in damages, and the case is currently pending. The complaint was regarding private placement and Micro-Cap Securities losses.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Aegis Capital Corp. may be liable for investment or other losses suffered by Adam Stern’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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