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Andrea Adam Terminated by Morgan Stanley Wealth Management

Andrea Adam (CRD #: 6919689) has been fired by Morgan Stanley Wealth Management. This disclosure appears on her BrokerCheck record, accessed on November 13, 2023. Keep reading if you have questions about her alleged conduct. 

On September 21, 2023, Morgan Stanley Wealth Management fired Andrea Adam following allegations she inaccurately claimed a customer trade error that resulted in the recording and payment of an unwarranted customer trade adjustment. 

FINRA Rule 4511

FINRA Rule 4511 requires firms to keep accurate and up-to-date books and records. Inaccurate claims regarding customer trades may violate this rule. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. 

Background Information 

Andrea Adam has passed the following exams: 

  • Series 66 Uniform Combined State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 

During her five years of experience, she has only ever registered with Morgan Stanley (CRD #: 149777). 

Kurta Law Can Help

If you worked with Andrea Adam and have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

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