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Adam Anderson Subject of Dispute Involving Treasury Notes

Adam Anderson (CRD #: 2924886), a broker formerly registered with Securities America, is involved in a pending dispute, according to his BrokerCheck record, accessed on May 3, 2023. If you want to know more about his alleged conduct as a broker, keep reading.

Investor Dispute

On February 22, 2023, an investor named Adam Anderson in a dispute alleging that their accounts holding treasury notes and options experienced losses. This dispute is currently pending.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of many other rules may also qualify as violations of FINRA Rule 2010.

Background Information

Adam Anderson has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination
  • Series 24 – General Securities Principal Examination

He previously worked for the following firms:

  • Securities America (CRD#:10205)
  • Brecek & Young Advisors (CRD#:40395)
  • NEBS Financial Services (CRD#:103874)
  • Pension Planners Securities (CRD#:14068)
  • New England Securities (CRD#:615)

Kurta Law Can Help

If you worked with Adam Anderson and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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