Investors complained about securities broker Adam Jesse Gurien [CRD: 2302341, Jupiter, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Adam Gurien has worked for Merrill Lynch Pierce Fenner Smith Incorporated since August 19, 2011. Before that, he worked for Wells Fargo Advisors LLC, from May 11, 2001, to August 22, 2011. Here’s more about Adam Gurien's disclosures.
Specifically, a Merrill Lynch Pierce Fenner Smith Incorporated client filed FINRA Arbitration No. 22-02215 about Adam Gurien. The client alleged unsuitable investment recommendations and misrepresentations. Because of this, the investor supposedly sustained damages on alternative investments. Consequently, on November 9, 2023, Merrill Lynch Pierce Fenner Smith Incorporated settled this matter by paying the client $120,000 in damages.
Previously, a client of Merrill Lynch Pierce Fenner Smith Incorporated contested Adam Gurien’s sales practices, according to a complaint dated October 28, 2015. This client alleged unsuitable investment recommendations. As a result, they sought damages from Merrill Lynch Pierce Fenner Smith Incorporated or Gurien. However, the securities broker dealer denied the complaint.
Also, a Wachovia Securities LLC client filed NASD Arbitration No. 04-07424 about Adam Gurien. The client alleged unsuitable advice. Because of this, the investor supposedly sustained damages on over-the-counter equities and variable annuities. Consequently, on March 28, 2005, Wachovia Securities LLC settled this matter by paying the client $1,500 in damages.
Specifically, a client of Zachary Jackson Securities L.P. contested Adam Gurien’s sales practices, according to a complaint dated January 29, 2001. Notably, the investor alleged churning and unauthorized transactions. Allegedly, Gurien allegedly caused the client to sustain damages on mutual funds and life insurance products. Consequently, they sought damages from Zachary Jackson Securities L.P. However, the securities broker dealer denied the complaint.
Evidently, on August 14, 2000, a Wells Fargo Advisors LLC client filed a complaint about Adam Gurien. The client alleged misrepresentation. Because of this, the client requested $14,350 in compensation from Wells Fargo Advisors LLC or Gurien. However, the complaint was denied on August 30, 2000.
Did you suffer financially because of Adam Gurien? If so, contact Soreide Law Group online or at (888) 760-6552 and speak to a securities lawyer about a possible recovery of your investment losses. Soreide Law Group investment loss recovery lawyers help individuals throughout the United States, work on a contingency fee basis, and advance all costs. Gurien and the brokerage firms Gurien worked for deny accusations of sales practice violations.
Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: TEXAKOMA FINANCIAL, INC. and their registered representative, SHEA PETER KENNEDY (SHEA P KENNEDY) (Repondents). The Claimant resides in Nevada, and according to the lawsuit, around August of 2023, SHEA P KENNEDY contacted the Claimant unsolicited, apparently after the Claimant had […]
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.
Phone:
Fax: 1-954-760-6553
Email: [email protected]