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Investor Seeks Six Figures in Dispute with Adam Brown

Adam Brown (CRD #: 4905935), a broker registered with St. Bernard Financial Services, is involved in an investor dispute, according to his BrokerCheck record, accessed on February 7, 2025. Read on if you want to know more about his alleged conduct as a broker.

Investor Dispute

On January 29, 2025, an investor filed a dispute alleging that Adam Brown facilitated a risky investment strategy that resulted in significant losses between 2021 and 2024. The client seeks $350,000 in this pending dispute.

FINRA Rule 2111

FINRA Rule 2111 requires brokers to recommend securities that adequately fit an investor’s financial goals. Brokers must use the information in an investor’s profile, such as their risk tolerance, age, tax status, and investment experience when making recommendations.

Investors who feel their losses were caused by unsuitable investment recommendations may be able to recover their funds through FINRA arbitration.

Background Information

Adam Brown has passed the following exams:

  • Securities Industry Essentials Examination – SIE
  • General Securities Representative Examination – Series 7
  • Uniform Combined State Law Examination – Series 66

Adam Brown is a registered broker and a registered investment adviser in Arkansas.

He has also worked for the following firms:

  • SWS Financial Services (CRD#:17587)
  • Wells Fargo Advisors (CRD#:19616)
  • A. G. Edwards & Sons (CRD#:4)

Kurta Law Can Help

If you worked with Adam Brown 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 that 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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