BRIAN KEITH ADAMS is currently employed as a Broker and/or Investment Adviser at THE LEADERS GROUP, INC. located at 26 WEST DRY CREEK CIRCLE, SUITE 800, LITTLETON, CO, 80120.
BRIAN KEITH ADAMS has worked at THE LEADERS GROUP, INC. since January 22, 2013
Disclosure History
BRIAN KEITH ADAMS has 2 Disclosure Event(s).
Date: November 02, 1999 Category: Customer Dispute Allegations: THAT IN 10/95 REPRESENTATIVE LISCENSED WITH TRAVELERS UNDER MY GENERAL AGENCY ENACT 1035 ON AN ANNUITY PREVIOUSLY SOLD BY HIM THAT CONTAINED RETIREMENT PLAN ASSETS. THEREBY CAUSING HIM TO PAY SURRENDER CHARGES AND HIGHER FEES THAN A NON-ANNUITY PRODUCT. I NEVER MET OR SPOKE WITH THE CLIENT AT ANY PERIOD DURING THIS TRANSACTION. Damage Amount Requested: $28,000.00 Settlement Amount: $3,000.00
Date: March 02, 1998 Category: Customer Dispute Allegations: ALLEGED I DID NOT ADVISE HER REGARDINGDISABILITY COVERAGE OR LIFE PREMIUM WAIVERS. QUESTIONEDSUITABILITY OF LIMITED PARTNERSHIP. CLIENT REQUESTED FULLREFUND OF ALL PREMIUMS AND SETTLEMENT IN THE AMOUNT OF $50,000. Damage Amount Requested: $50,000.00 Broker Comment: NO EVIDENCE WAS PRESENTED TO SUPPORT THECLIENT'S ALLEGATIONS. THE ALLEGATIONS WERE DENIED BY LETTERDIRECTLY TO THE CLIENT BASED UPON CONTRACTUAL EVIDENCE AND THEAGENT'S TESTIMONY. NO SUBSEQUENT CORRESPONDENCE HAS BEENRECEIVED.A FULL RESPONSE TO CLIENT'S COMPLAINT WASFORWARDED TO NEW ENGLAND LIFE. IT DETAILED ALL CONCERNS ANDREFUSED ALL CLAIMS. IT REFLECTED THAT THE CLIENT MADE MATERIALMISSTATEMENTS IN HER ALLEGATIONS. IT FURTHER REFLECTED THATSHE QUALIFIED FOR NO TYPE OF DISABILITY AND/OR WAIVER OFPREMIUM BENEFITS. AND THAT THE REALESTATE LIMITED PARTNERSHIPWAS A FRACTIONAL PORTION OF AN OVERALL ASSET ALLOCATION PLANAMOUNTING TO LESS THAN 7% OF HER OVERALL PORTFOLIO ($10,000).
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.
To view the full report for BRIAN KEITH ADAMS, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.