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Alan Stricker: Did His Options Strategy Lead to Losses?

Alan Stricker (CRD #: 2630094), a broker registered with Mid-Atlantic Capital Corporation, is facing an investor dispute, according to his BrokerCheck record, accessed on July 28, 2021. This is the second dispute filed by an investor.

On June 2, 2021, a client alleged that Alan Stricker did not close a covered call option strategy at the right time. “Options” are investment contracts that come with strict deadlines. The investor is seeking $23,995; the dispute is pending.

There is also a settled investor dispute on Stricker’s record. On June 18, 2008, an investor alleged that Stricker sold them an unsuitable auction rate security. The dispute settled for $100,000.

Alan Stricker Background Information

Stricker has passed the following exams:

  • Series 65 Uniform Investment Adviser Law Examination
  • Series 63 Uniform Securities Agent State Law Examination
  • Securities Industry Essentials Examination
  • Series 31 Futures Managed Funds Examination
  • Series 7 General Securities Representative Examination

He is a registered broker in 13 states and a registered investment adviser in 19 states as well as the District of Columbia.

Stricker has worked with the following firms:

  • UBS Financial Services (CRD #: 8174)
  • Piper Jaffray & Co. (CRD #: 665)

Kurta Law Can Help

If you worked with Alan Stricker you have concerns about your investments, contact Kurta Law today. Call 212-658-1502 or email