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Adam Shipley is the Subject of an Investor Dispute

By: kurtablogs Author
November 25, 2025 at 5:45pm

Adam Shipley (CRD #: 6482848), a broker registered with Emerson Equity, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on November 25, 2025. Keep reading if you have questions regarding his alleged conduct.

Investor Allegations

On October 3, 2025, an investor alleged that Adam Shipley breached warranties as well as the Consumer Protection and Deceptive Trade Practices Act. The investor further alleged that he violated Regulation Best Interest.

Regulation Best Interest

Regulation Best Interest (Reg-BI) is an SEC regulation that requires brokerage firms to put their clients’ best interests first. For example, firms must conduct reasonable due diligence when researching investments to ensure their recommendations are suitable for the investor.

Background Information

Adam Shipley has passed the following exams:

  • Series 66 Uniform Combined State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 3 National Commodity Futures Examination 
  • Series 7 General Securities Representative Examination

He is a registered broker in 14 states and is a registered investment adviser in California.

Adam Shipley has registered with the following firms:

  • Emerson Equity (CRD #: 130032)
  • Northwoods Financial Partners (CRD #: 332747)
  • National Asset Management (CRD #: 115927)
  • National Securities Corporation (CRD #: 7569)
  • Select Planning Group (CRD #: 172456)

Kurta Law Can Help

If you worked with Adam Shipley 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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