Erez Law is interested in speaking with investors who may have suffered losses due to investments with Westpark Capital, Inc. broker Adam Brown (CRD# 4506309) related to unsuitable investment recommendations. He has been registered with Westpark Capital, Inc. in Boca Raton, Florida, since 2016. Previously, he was registered with Newport Coast Asset Management in Fort Lauderdale, Florida, from 2015 to 2016, with Dawson James Asset Management, Inc. in Boca Raton, Florida, from 2014 to 2015, and with Signator Investors, Inc. in Boca Raton, Florida, from 2013 to 2014.
Adam Brown Customer Complaints
He has been the subject of two customer complaints between 2021 and 2023, according to his CRD report:
February 2023. “Suitability and Churning, Breach of Fiduciary Duty, Breach of Contract, Unauthorized Trading, Negligence, Misrepresentation and Omission of Facts, Lost Opportunity, and Punitive Damages during the time period of August 2015 through March 2022.” The customer is seeking $351,987.66 in damages, and the case is currently pending. The complaint was regarding common and preferred stock losses, and it took place while he was registered with Westpark Capital, Inc.
June 2021. “Client is claiming breach of fiduciary duty and gross negligence regarding the sale of an alternative investment.” The customer is seeking $50,000 in damages, and the case is currently pending. The complaint was regarding direct investment losses, and it took place while he was registered with Westpark Capital, Inc.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Westpark Capital, Inc. may be liable for investment or other losses suffered by Adam Brown’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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