Adam Brown

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Adam Brown (Brown), previously associated with Westpark Capital, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Brown concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $351,987.66 on February 13, 2023.

Suitability and Churning, Breach of Fiduciary Duty, Breach of Contract, Unauthorized Trading, Negligence, Misrepresentation and Omission of Facts, Lost Opportunity, and Punitive Damages during the time period of August 2015 through March 2022

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Brown (Brown), currently associated with St. Bernard Financial Services, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Brown recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $350,000.00 on January 29, 2025.

Claiment wanted to double his money in a short time and agreed to take a risky investment strategy. Large losses occurred . Account was opened in December of 2021 and closed in early 2024

Articles Tagged with Adam Brown

There are Recent Customer Complaints with Broker Adam Brown in Firm Westpark Capital, INC.

Broker Adam Brown in St. Bernard Financial Services, Inc. Firm Has Customer Complaint