Investor Names Adam Corwin in Dispute Alleging Misrepresentations
Adam Corwin (CRD #: 6650208), a broker registered with MML Investors Services, is involved in a pending dispute, according to his BrokerCheck record, accessed on May 17, 2023. If you want to know more about his alleged conduct as a broker, read on.
On April 4, 2023, an investor named Adam Corwin in allegations of unsuitable investment recommendations and material misrepresentations made in regard to annuity products and fraudulent real estate investments, which resulted in financial harm to the client.
The client alleged that this misconduct began in or around 2019. This dispute is currently pending.
FINRA Rule 2111
FINRA Rule 2111 requires brokers to evaluate whether an investment fits their investor’s financial goals. Brokers must examine the information described in an investor’s profile, such as their age, risk tolerance, and tax status.
Investors who rely on brokers for recommendations may be able to recover their losses by pursuing FINRA arbitration.
FINRA Rule 2020
The misrepresentation of information related to investments violates FINRA Rule 2020, which bans the use of manipulative, deceptive, and otherwise fraudulent tactics to influence the purchase and sale of securities.
Adam Corwin has passed the following exams:
- Series 66 – Uniform Combined State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 – General Securities Representative Examination
Adam Corwin is a registered broker in 14 states and a registered investment adviser in Georgia and Texas.
He has also worked for OneAmerica Securities (CRD#:4173) and Cetera Advisors (CRD#:10299).
Kurta Law Can Help
If you worked with Adam Corwin and you have concerns about your investments, please contact us today at 877-600-0098 or email@example.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.