Sandy Steinberg: Bond Complaint Against Boca Raton AGP Advisor

A recent investor complaint against Boca Raton financial advisor Sandy Steinberg (CRD# 834205) alleges that his investment advice resulted in damages exceeding $350,000. Records maintained by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with AGP/Alliance Global Partners.

Mr. Steinberg’s BrokerCheck report discloses one investor complaint. Filed in December 2022, it alleges that as a representative of AGP/Alliance Global Partners, he recommended unsuitable corporate bonds and complex products between November 2019 and August 2022. (More information about FINRA’s suitability rule, which requires brokers to recommend investments that are appropriate for their customers’ background and objectives, is available here.) The pending complaint alleges damages of $368,000.

According to the Financial Industry Regulatory Authority, Sandy Steinberg holds 45 years of securities industry experience. Based in Boca Raton, Florida, he has been a broker and an investment advisor with AGP/Alliance Global Partners since 2019. His past registrations include Aegis Capital Corporation (2010-2019), Gunnallen financial (2008-2010), Stanford Group Company (2006-2008), Stillpoint Wealth Management (2004-2006), Citigroup Global Markets (1986-2004), Baird Patrick Capital Group (1985-1986), Baird Patrick & Company (1980-1985), DH Blair Investors Corporation (1979-1980), and Richard Franklin (1977-1979). His credentials include the passage of six securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the AMEX Put and Call Exam, or PC; the Securities Industry Essentials Examination, or SIE; the Operations Professional Examination, or Series 99TO; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Investment Adviser Law Examination, or Series 65. He is licensed in California, Connecticut, Florida, Georgia, Illinois, Indiana, Missouri, Nevada, New Jersey, New York, North Carolina, Ohio, Oregon, Pennsylvania, Texas, Vermont, and Virginia.  (Information current as of January 23, 2023.)

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