Adam J. Ausloos (CRD #5963691) Has Regulatory and Customer Dispute Disclosures on FINRA BrokerCheck

Adam J. Ausloos (CRD #5963691) was previously registered as a broker. His FINRA BrokerCheck profile reflects two regulatory events and one customer dispute. We reviewed his BrokerCheck report on May 5, 2026. If you invested with Adam Ausloos and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Regulatory Actions

Adam Ausloos FINRA BrokerCheck Report reflects two regulatory event disclosures. The summaries are below.

On March 18, 2026, the Florida Office of Financial Regulation initiated a regulatory action. Adam Ausloos FINRA BrokerCheck Report says the matter became final by stipulation and consent. The action concerned failure to timely notify the Office of administrative orders and other reportable events. The sanctions included a cease and desist order and termination of registration.

On December 21, 2023, Wisconsin initiated a regulatory action. Adam Ausloos FINRA BrokerCheck Report says the matter resolved by consent on January 24, 2025. The action concerned charging Wisconsin residents at least $4,479.29 in advisory fees while not registered in Wisconsin. The sanctions included a permanent bar, cease and desist order, and disgorgement of $4,479.29.

Investor Disputes / Customer Complaints

Adam Ausloos FINRA BrokerCheck Report reflects one customer dispute disclosure. A summary of the dispute is below.

On May 4, 2016, a customer alleged Adam Ausloos did not explain the seven-year surrender period. The dispute involved a Minnesota Life variable annuity. The customer also alleged that he said the policy would pay 7% interest. Adam Ausloos FINRA BrokerCheck Report lists the product as a variable annuity. It lists requested damages of $5,328.04. The firm denied the complaint on May 26, 2016. Ausloos’s statement says the client signed documents confirming she understood the product and received the disclosures.

Rule Summary #1: FINRA Rule 4530 (Reporting Requirements)

FINRA Rule 4530 requires firms to report specified events to FINRA within set time frames. It also requires associated persons to promptly report certain events to their firms.

Rule Summary #2: FINRA Rule 2010 (Standards of Commercial Honor)

FINRA Rule 2010 requires high standards of commercial honor and just and equitable principles of trade. Regulators may cite this rule when conduct reflects poor business standards.

Why This Matters to Investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.

Reg BI has four key obligations:

Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.

Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.

Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.

Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.

Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.

Overall, Regulation Best Interest promotes transparency. It also aims to improve the quality of investment recommendations. It is designed to reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on his FINRA BrokerCheck report, Adam Ausloos:

Is not currently registered as a broker.

Has passed the Securities Industry Essentials (SIE) exam. Adam Ausloos has also passed Series 7 and Series 66.

Was previously registered with firms that include Ameriprise Financial Services, Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated.

Kurta Law Can Help

If you have worked with Adam Ausloos, Kurta Law may be able to help you evaluate your legal options. Call 877-600-0098 or email info@kurtalawfirm.com.

Helpful resources: Variable Annuities | Unsuitable Investments

For nearly 20 years, Kurta Law has advocated for investors and held financial professionals accountable. Our firm represents clients nationwide in securities arbitration and related disputes. If you believe a broker or firm mishandled your account, an attorney can review the facts. The attorney can also explain possible next steps.