Articles Tagged with Brian Adams

There are Recent Customer Complaints with Broker Brian Adams in Firm Fifth Third Securities, INC.

June 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint with a damage request of $18,935.40 on January 12, 2024.

Client alleged Registered Representative’s liquidation of securities was inconsistent with her direction.

There are Recent Customer Complaints with Broker Brian Adams in Firm Carter, Terry & Company, Inc.

March 1, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint with a damage request of $54,000.00 on October 29, 2024.

Customer is dissatisfied with the performance of her investment portfolio and investment strategy over the last 4 years.