Public records published by the Financial Industry Regulatory Authority (FINRA) on April 27, 2016 indicate that former New York-based Benjamin Securities broker Adam Gromling has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Gromling (CRD# 5181931).
Adam Gromling has spent four years in the securities industry and was most recently registered with Benjamin Securities in Hauppage, New York (2012). Previous registrations include EKN Financial Services, which has since been expelled by FINRA, in Melville, New York; John Thomas Financial, which has since been expelled by FINRA, in Hauppauge, New York; Trident Partners in Woodbury, New York; and American Capital Partners in Huntington, New York (2007-2008). He is currently not registered with any state or firm.
According to his BrokerCheck report, Adam Gromling is the subject of one regulatory sanction and three pending customer complaints.
In 2014, FINRA permanently barred Adam Gromling following allegations that he failed to respond to a request for information.
In 2013, a customer alleged that Adam Gromling, while employed at John Thomas Financial, recommended an unsuitable investment in a private placement. The customer is seeking $25,000 in damages in the pending complaint.
In 2012, a customer alleged that Adam Gromling, while employed at John Thomas Financial, executed unauthorized trades, recommended unsuitable investments, and misrepresented material facts. The customer is seeking $310,000 in damages in the pending complaint.
In 2009, a customer alleged that Adam Gromling, while employed at American Capital Partners, engaged in “a variety of sales practice violations.” The customer is seeking $3,722,200 in damages in the pending complaint.
If you have complaints regarding Adam Gromling, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. All cases are taken on contingency: we only receive payment if and when you recover money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.