According to his Letter of Acceptance, Waiver and Consent (“AWC”) with FINRA, Adam Estes consented to a 15-month suspension from the securities industry and a $15,000 fine. FINRA alleges that Estes participated in eleven private securities transactions without providing notice to his firm and in some instances accepted money from a firm client. Further, FINRA claimed that he misrepresented and omitted details regarding these private securities transactions in firm questionnaires, as detailed in AWC 20140406335-01.
Fishman Haygood represents investors who have suffered investment losses in claims against their brokers or financial advisors. Our experienced attorneys have brought securities fraud cases in state and federal courts across the nation, as well as in FINRA arbitration. We work to help investors recoup their losses.
Of course, all cases are different. For that reason, we analyze each client’s matter individually and provide our personalized evaluation only after considering all of the facts and circumstances of all possible claims. If you or someone you know is the victim of securities fraud, please contact a Fishman Haygood lawyer today.