Aaron Hamilton Adams

Aaron Hamilton Adams is currently employed as a Broker and/or Investment Adviser at EDWARD JONES located at 214 W 8TH STREET, GEORGETOWN, TX, 78626.

Aaron Hamilton Adams has worked at EDWARD JONES since January 12, 2012

Disclosure History

Aaron Hamilton Adams has 2 Disclosure Event(s).

Date: February 28, 2017
Category: Customer Dispute
Allegations: The client alleges that in September 2016 her IRA was moved into Guided Solutions without her approval and that unauthorized trades were placed in the account. The client also alleges commissions were not disclosed on mutual fund trades placed in November 2016 in her individual account.
Damage Amount Requested: $5,000.00
Settlement Amount: $2,760.00
Broker Comment: After completion of the firm's investigation, client's claim was resolved in the amount of $2,760.00. Financial advisor was not required to contribute to the resolution.

Date: April 22, 2006
Category: Criminal
Disposition: Reduced
Amended Charge Type: MISDEMEANOR Amended Charge
Amended Charge Disposition: Reduced

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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