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Kevin Adam Of Cetera Advisors LLC Has 4 Customer Complaints For Alleged Broker Misconduct

Who is Kevin Adam of Cetera Advisors LLC?

Kevin Adam

Kevin Adam (CRD #2393993) who is currently registered as a broker and investment adviser with Cetera Advisors LLC and located in Columbia, Missouri, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisors LLC, Kevin Adam was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Kevin Adam Customer Complaints

Kevin Adam has been the subject of 4 customer complaints that we know about seeking to recover investment losses. Three of the customer complaints were denied by Kevin Adams current and former employers and to date, the investors have not taken any further action. There is currently one customer complaint pending against Cetera Advisors LLC for Kevin Adam’s alleged misconduct in the Circuit Court of Boone County, Missouri.

Allegations Against Kevin Adam

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Misrepresentation and breach of fiduciary duty
  • Failure to fully explain features of securities product.
  • Product was inconsistent with what was discussed and agreed upon with adviser.
  • Expenses of variable annuity contract were not fully disclosed at the time of the sale.

Kevin Adam Red Flags & Your Rights As An Investor

Of course, Kevin Adam did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Kevin Adam at Cetera Advisors LLC on alert to review carefully the activity and performance of their accounts and question whether Kevin Adam has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisors LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

Did You Lose Money Because of Broker Misconduct?

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If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At Cetera Advisors LLC Due To Kevin Adam

If you have questions about Cetera Advisors LLC and/or Kevin Adam and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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