Adam Denny Estes—Private Securities Transactions
Adam Denny Estes Allegedly Participated in Eleven Private Securities Transactions, without Prior Proper Written Notice, Totaling over $1.2 Million and Involving Five Small Businesses
Adam Denny Estes, between May 2012 and March 2014, allegedly engaged in eleven private securities transactions without providing prior written notice that totaled over $1.2 million, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Alan Rosca and James Booker.
Adam Denny Estes, formerly of J.J.B. Hilliard, W.L Lyons, LLC, based on the aforementioned behavior, allegedly violated NASD and FINRA Rules, the aforementioned AWC notes.
The Peiffer Rosca Wolf securities lawyers are currently investigating Adam Denny Estes’ alleged private securities transactions without prior written approval.
Adam Denny Estes Allegedly Engaged in four outside business, two of which were Created by Estes and Others
Adam Denny Estes, between May 2009 and March 2014, also allegedly engaged in four outside business, two of which were created by Estes and others, according to the aforementioned AWC currently under review by attorneys Alan Rosca and James Booker.
Based on the aforementioned actions, Estes allegedly violated FINRA Rules by making misrepresentations and omissions related to the aforementioned private securities transactions and outside business activities in eleven J.J.B. Hilliard, W.L Lyons, LLC annual questionnaires and other compliance documents between 2010 and 2014, the AWC notes.
It should also be noted that, according to the AWC, Adam Denny Estes neither admitted nor denied the FINRA findings.
Securities Lawyers Investigating
The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of private securities transactions and are currently investigating Adam Denny Estes’ alleged private securities transactions without prior written approval. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.
Investors who believe they lost money as a result of Adam Denny Estes’ alleged private securities transactions without prior written approval may contact the securities lawyers at the office of Peiffer Rosca Wolf, Alan Rosca or James Booker, for a free no-obligation evaluation of their recovery options, at 888-998-0520.