Andrea Adam Terminated by Morgan Stanley Wealth Management
Andrea Adam (CRD #: 6919689) has been fired by Morgan Stanley Wealth Management. This disclosure appears on her BrokerCheck record, accessed on November 13, 2023. Keep reading if you have questions about her alleged conduct.
On September 21, 2023, Morgan Stanley Wealth Management fired Andrea Adam following allegations she inaccurately claimed a customer trade error that resulted in the recording and payment of an unwarranted customer trade adjustment.
FINRA Rule 4511
FINRA Rule 4511 requires firms to keep accurate and up-to-date books and records. Inaccurate claims regarding customer trades may violate this rule.
FINRA Rule 2010
FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.
Andrea Adam has passed the following exams:
- Series 66 Uniform Combined State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
During her five years of experience, she has only ever registered with Morgan Stanley (CRD #: 149777).
Kurta Law Can Help
If you worked with Andrea Adam and 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 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.