Kimberlee Marie Orth (also known as Kim Kais and Kimberlee Kais), of Wilmington, Delaware, a stockbroker registered with Ameriprise Financial Services LLC, was the subject of a customer initiated investment related complaint that was settled on June 14, 2022, for $41,642.25 in damages based upon allegations that Orth provided inaccurate information to the customer concerning a rollover when Orth was associated with Ameriprise Financial Services LLC.
This is not the first time that Orth has been referenced in a customer initiated investment related dispute concerning Orth’s conduct in the securities industry. Financial Industry Regulatory Authority (FINRA) Public Disclosure shows that Orth was also referenced in a customer initiated investment related complaint, in which the customer requested $450,000.00 in damages based upon allegations that Orth made misrepresentations of material fact in connection with the sale of insurance products when Orth was associated with Ameriprise Financial Services LLC. The firm denied this complaint.
Orth has been associated with Ameriprise Financial Services LLC as a stockbroker since December 20, 1987, and as an investment advisor representative since January 1, 1998. She has no other complaints.
