DID ADAM BROOKS STEEN CAUSE YOU INVESTMENT LOSSES?
Adam Steen was fired from UBS Financial Services Inc. on November 6, 2024, for allegedly breaching firm policies by taking instructions from an unauthorized relative on a client account.
Adam Steen Employment History and Termination
Mr. Sprague has one customer dispute recorded in the FINRA report as follows:
- Adam B. Steen has over 30 years of experience in the securities industry, having worked for four firms since 1992. He was registered with UBS Financial Services Inc. from August 2000 to November 2024. He passed five professional exams, including the Series 7 and 65 exams, and holds registrations in 24 states as of December 2024.
- Mr. Steen was terminated from UBS on November 6, 2024, following a review which determined that he had breached firm policies. This included allegations that he accepted instructions from an unauthorized relative on a client.
- On December 17, 2024, Mr. Steen joined Kestra Investment Services LLC as a registered broker and Kestra Private Wealth Services LLC as an investment adviser.
Negative Disclosures Summary
One incident was noted on record:
- Termination Date: November 6, 2024
- Employer: UBS Financial Services Inc.
- Details: Allegations of breaching firm policies by taking instructions from an unauthorized relative on a client account.
Adam Steen Red Flags & Your Rights As An Investor
Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of Adam Steen is a red flag which should put all current and former customers of Adam Steen at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Adam Steen engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. 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?
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 UBS Financial Services Inc. Due To Adam Steen
If you have questions about UBS Financial Services Inc. and/or Adam Steen 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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