National investment loss lawyers KlaymanToskes is investigating broker Adam Steen (CRD #2231499) of Kestra Investment Services, and formerly of UBS Financial Services.
According to FINRA BrokerCheck records, Adam Steen was terminated by UBS Financial Services in November 2024 for violating firm policies by allegedly not being forthcoming about taking instructions from an unauthorized relative on a client account.
Investors that suffered losses with broker Adam Steen are encouraged to contact attorney Lawrence L. Klayman, Esq., at 888-997-9956 or by email at investigations@klaymantoskes.com to discuss potential recovery options. We do not collect attorney’s fees unless we are able to obtain a financial recovery for you.
Adam Steen’s FINRA BrokerCheck report documents his departure from UBS Financial Services in November 2024. The disclosure states the firm terminated his employment in connection with allegations regarding violation of firm policies, specifically concerning taking instructions from an unauthorized relative on a client account. Steen is currently registered as a broker with Kestra Investment Services in Memphis, Tennessee.
As an investor, there are a few signs that you should look out for if you believe you may have a claim against your financial advisor. These signs could potentially indicate misconduct, negligence, or investment fraud. Investors are encouraged to contact our firm immediately if you have experienced any of the following:
Some investors have close relationships with their brokers due to the time and trust built over the course of their investment relationship. However, it is crucial to remember that financial decisions should be based on careful analysis and due diligence rather than solely relying on personal relationships.
Engaging the services of an experienced securities attorney to evaluate your specific circumstances is strongly advised. At KlaymanToskes, our team of experienced securities attorneys has a deep understanding of this complex area of law, allowing us to provide invaluable insight and tailored guidance that directly addresses your individual needs.
If you suffered losses with broker Adam Steen, or have concerns regarding your investment portfolio at UBS Financial Services, Kestra Investment Services, or with any other financial advisor or firm, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation.