Investors have reportedly disputed the sales practices of securities broker Adam Kennon Brown [CRD: 4905935, Jonesboro, Arkansas], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Brown has been registered with St. Bernard Financial Services Inc. since November 8, 2012, where he serves as both a broker and investment adviser. Investors are encouraged to keep reading to learn more about the disclosure involving Brown’s conduct.
An allegation of unsuitable recommendations typically means that a securities broker or financial adviser suggested investments that did not match the client’s financial situation, investment goals, or risk tolerance. When brokers recommend risky strategies—such as aggressive trading or complex products like options—to investors seeking high returns without ensuring the investor fully understands or can bear the risk, these recommendations may be deemed unsuitable. Such actions can expose investors to substantial losses.
Also, on January 23, 2025, a St. Bernard Financial Services client filed FINRA Arbitration No. 25-00106 about Adam Brown. Primarily, the client alleged that Brown made recommendations of a risky investment strategy involving options. Because of this, the investor allegedly sustained damages of approximately $350,000. They requested compensation from St. Bernard Financial Services or Brown. It appears that this arbitration is pending a resolution.
Are you concerned regarding investments you made with Adam Brown? If so, reach out to Soreide Law Group at (888) 760-6552 or online. Talk with a securities attorney concerning a potential recovery of your investment losses. For years, Soreide Law Group has recovered losses for investors throughout the country. Also, the firm works on a contingency fee basis and advances all costs. Brown and brokerage firm St. Bernard Financial Services deny allegations of sales practice violations.
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
Every settled customer dispute on Peter Maller's BrokerCheck report names Lincoln Financial as the firm. Maller holds CRD number 2322403. The newest dispute, filed on March 5, 2024, settled on August 15, 2024 for $12,500 against alleged damages of $50,000. The claimants alleged that the representative represented an oil and gas investment as safe.
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