Adam Kuettel– Engaging in Private Securities Transactions without Prior Written Notice and Approval

investors rights attorneysAdam Kuettel Allegedly Engaged in Private Securities Transactions without Prior Written Notice and Approval

Adam Kuettel allegedly engaged in private securities transactions without proper prior written notice and approval from St. Bernard Financial Services, Inc., according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Alan Rosca and Joe Peiffer.

Adam Kuettel allegedly assisted 11 investors (3 of whom customers) with the purchase of a total of 128,627 shares of stock and warrants in a public company through a private investment in a public equity (PIPE) transaction, the aforementioned AWC notes.

The Peiffer Rosca Wolf securities lawyers are currently investigating Adam Kuettel’s alleged unapproved private securities transactions.

Adam Kuettel Suspended and Fined $10,000; Allegedly Assisted 11 Investors with a Private Investment in a Public Equity (PIPE) Transaction in Which Customers Collectively Invested $836,075.50

Adam Kuettel’s aforementioned alleged PIPE transaction took place in July of 2014, and said customers purportedly invested $836,075.50, collectively, according to the aforementioned AWC currently under review by attorneys Alan Rosca and Joe Peiffer.

As a result of the aforementioned alleged and unapproved private securities transactions, Adam Kuettel allegedly violated NASD and FINRA Rules and, hence, has consented to a nine-month suspension and a $10,000 fine.

One should also note that, according to the AWC, Adam Kuettel 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 unapproved private securities transaction, and are currently investigating Adam Kuettel’s alleged unapproved private securities transactions. 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 Kuettel’s alleged unapproved private securities transactions may contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca or Joe Peiffer, for a free no-obligation evaluation of their recovery options, at 888-998-0520.

Alan Rosca (1174 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.