Mariam Adams Allegedly Failed to Follow Investor’s Instructions

Mariam Adams (CRD #: 6433787), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, was the subject of a recent dispute, according to her BrokerCheck record, accessed on December 12, 2022. If you want to know more about her alleged conduct as a broker, read on.

Investor Dispute

On September 14, 2022, an investor alleged that Mariam Adams failed to follow their instructions in January 2022. The firm denied this dispute.

However, investors should know that firms don’t need to permit an outside review before denying a dispute. Investors may be able to recoup their losses by pursuing FINRA arbitration following a denial.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Mariam Adams has passed the following exams:

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

Mariam Adams is a registered broker in 21 states and the District of Columbia. She is also a registered investment adviser in Connecticut, New York, and Texas.

Kurta Law Can Help

If you worked with Mariam Adams 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 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.