Adam Denny Estes—Private Securities Transactions

New Orleans stockbroker fraud attorney

New Orleans stockbroker fraud attorney

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.

Alan Rosca (1144 Posts)

Alan is a securities lawyer. He also teaches Securities Regulation at the Cleveland-Marshall College of Law. He focuses his legal practice on complex commercial and financial litigation and arbitration, particularly in the areas of securities and investment fraud. His office is in Cleveland, Ohio.


In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent blogs regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases.