Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Summers (Summers), previously associated with Lasalle St Securities, L.l.c., has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Summers recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on April 08, 2022.
Without admitting or denying the findings, Summers consented to the sanctions and to the entry of findings that he engaged in forgery by signing the name of his supervisor on new account forms without permission. The findings stated that each form had already been signed by the customer at the time Summers signed his supervisor\\u2019s name. Summers submitted the signed forms to his member firm\\u2019s home office for approval.