Mark Allen Barrand of Lone Tree Colorado is a stockbroker currently registered with Ameriprise Financial Services, Inc. who is the subject of a customer initiated investment related written complaint on January 11, 2018 in which the customer requested $138,500.00 in damages supported by allegations that Barrand made misrepresentations to the customer concerning the terms of unit investment trusts and variable annuities.
FINRA Public Disclosure confirms that Barrand has been identified in two more customer initiated investment related disputes pertaining to accusations of his misconduct while he was employed with Multi-Financial, Legacy Financial Services and Ameriprise Financial Services, Inc. Specifically, on October 6, 2008, a customer filed an investment related written complaint that concerned Barrand’s conduct where the customer sought $20,277.00 in damages founded on allegations that the customer’s investment instructions were not followed with respect to the customer’s mutual funds investments, and misrepresentations had been made concerning the transactions placed in the customer’s account.
Subsequently, a customer initiated investment related arbitration claim regarding Barrand’s activities was resolved for $20,000.00 in damages based upon accusations that Barrand violated securities regulations, negligently managed the customer’s investments, breached his fiduciary duties, and made misrepresentations to the customer concerning a variable annuity.
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