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Shelley Adams Allegedly Failed to Follow Client’s Instructions

Shelley Adams (CRD #: 2610306), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, allegedly failed to follow instructions, according to her BrokerCheck record, accessed on July 2, 2022. Read on if you want to know more about her conduct as a broker.

Investor Dispute

In a dispute filed on April 5, 2022, an investor alleges that Shelley Adams failed to follow instructions from December 2021 to April 2022. This dispute was denied by the firm.

Investors should know, however, that firms can deny disputes without an external review. Investors may be able to recoup their losses by seeking out FINRA arbitration after a denial.

FINRA Rule 2010

FINRA Rule 2010 requires brokers to maintain high standards of commercial honor and ethical conduct. Many types of misconduct qualify as violations of this rule.

Background Information

Shelley Adams has passed the following exams:

  • Series 65 – Uniform Investment Adviser Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Shelley Adams is a registered broker in 13 states and the Virgin Islands. She is also a registered investment adviser in Texas.

Kurta Law Can Help

If you worked with Shelley Adams and you have concerns about your investments, please contact us today at 877-600-0098 or 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.