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Adam Epstein is Facing a Six Figure Dispute

Adam Epstein (CRD #: 4043653), a broker registered with UBS Financial Services, is the subject of an investor dispute. This disclosure appears on his BrokerCheck record, accessed on December 5, 2023. Keep reading for more details. 

On September 25, 2023, an investor alleged that Adam Epstein did not inform him that he omitted information regarding an investment that was inappropriate for his foundations. The dispute was settled for $850,000. 

FINRA Rule 2111 – Unsuitable Investments 

FINRA Rule 2111 defines suitable investments as securities that fit an investor’s profile. Investor profiles have information on the investor’s age, tax status, investing experience, and financial goals. Investments that do not take these factors into account may be unsuitable. This rule also prohibits failing to diversify, as placing too much of a portfolio in a single sector exposes the investor to unnecessary risk. 

Background Information 

Adam Epstein has passed the following exams: 

  • Series 66 Uniform Combined State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 31 Futures Managed Funds Examination 
  • Series 7 General Securities Representative Examination 

He was a registered broker in 36 states and is a registered investment adviser in Connecticut, New Jersey, New York, Texas, and Utah. 

During his 24 years of experience, he has registered with six firms: 

  • UBS Financial Services (CRD #: 8174) 
  • Credit Suisse Securities (CRD #: 816) 
  • AllianceBernstein (CRD #: 108477) 
  • Sanford C. Bernstein (CRD #: 104474) 
  • Merrill Lynch Investment Managers LP (CRD #: 105068) 
  • FAM Distributors (CRD #: 4100) 

Kurta Law Can Help 

If you have worked with Adam Epstein and have concerns about your investments, don’t hesitate to contact us today at 877-600-0098 or 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 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. Do not let securities fraud go unchecked. Start your recovery process today.