Benjamin Adams

(CRD #6637068, Baton Rouge, Louisiana)

April 7, 2025 – An AWC was issued in which Adams was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all capacities for two months. Without admitting or denying the findings, Adams consented to the sanctions and to the entry of findings that he forged or falsified seven customers’ and two registered representatives’ electronic signatures on documents, including documents that were required books and records of his member firm. The findings stated that Adams did not have the representatives’ and two of the customers’ prior permission. All of the transactions were authorized, and no customer complained. The suspension was in effect from April 7, 2025, through June 6, 2025. (FINRA Case #2023078978701) If you have suffered losses as a result of Benjamin Adams's act and/or actions, we would like to hear from you. We are currently investigating claims on behalf of clients who have suffered significant losses in their portfolios that are managed by Benjamin Adams. The Schwartz Law Firm represents investors in claims against financial advisors and their firms. If you have questions about your potential claim or need assistance from an investment fraud lawyer, please contact us at 866-618-0545 or email Matthew Schwartz directly at mschwartz@tslfirm.com.