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National Securities Corporation Fires Adam Cohen for Allegedly Violating Firm Policy 

Dec 28, 2021 Fired Brokers

Adam Cohen (CRD #: 5693359) has been fired from his position at National Securities Corporation, according to his BrokerCheck record, accessed on November 29, 2021.   

Termination Details 

On October 8, 2021, National Securities Corporation fired Adam Cohen following allegations that he violated the firm's policy regarding marketing materials.  

Investor Dispute 

 On February 18, 2016, Adam Cohen was involved in an unsuitability dispute, which has since been denied. Investors should know that they can still recover losses following a denial.  

What is a Suitable Investment? 

A financial advisor who recommends a security or investment is subject to ethical standards enforced by law. One such standard is known as the suitability rule, which is described in FINRA Rule 2111.   

FINRA Rule 2111 requires registered financial advisors to have a "reasonable basis" to believe that a recommended transaction or investment strategy suits their client's needs. If you've lost money due to a financial advisor's bad recommendations, do not hesitate to contact an experienced securities attorney as soon as possible. Kurta Law is a nationally recognized securities law firm with over 25 years of experience litigating securities fraud cases. 

Background Information 

Adam Cohen has passed the following exams: 

  • Series 65 - Uniform Investment Adviser Law Examination 
  • Series 66 - Uniform Combined State Law Examination 
  • SIE - Securities Industry Essentials Examination 
  • Series 7 - General Securities Representative Examination 

Adam Cohen has also worked with the following firm: 

  • New England Securities (CRD#:615) 

Kurta Law Can Help 

If you lost money while working with Adam Cohen, don't hesitate to contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.  

For nearly 20 years, Kurta Law has advocated for investors 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.