Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Adam (Adam), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Adam 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 $40,000.00 on October 13, 2025.
Claimant generally alleges misrepresentation and breach of fiduciary duty.