Randy Joe Ryan, of Worthington, Ohio, a stockbroker formerly registered with Ameriprise Financial Services, Inc., has been named in a customer initiated investment related written complaint on April 24, 2017, where the customer requested $5,867.31 in damages based upon allegations that Ryan sold the customer a variable annuity that was not suitable considering the customer’s age and objectives for investing.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Ryan has been identified in three additional customer initiated investment related disputes containing allegations of his wrongdoing while employed with Ameriprise Financial Services. Specifically, on February 25, 2004, a customer filed an investment related written complaint involving Ryan’s conduct, in which the customer requested $100,000.00 in damages supported by allegations that Ryan failed to appropriately manage the customer’s mutual fund investment portfolio, which caused the customer to incur losses.
Subsequently, on April 1, 2004, a customer filed an investment related written complaint regarding Ryan’s activities, in which the customer requested $5,000.00 in damages based upon allegations that he was liable for poorly handling the customer’s mutual fund account. Subsequently, on August 15, 2006, a customer filed an investment related written complaint involving Ryan’s conduct, in which the customer requested $80,000.00 in damages based upon allegations that Ryan omitted information from the customer concerning the tax liabilities pertaining to a variable annuity payment.
Guiliano Law Group
Our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.
For more information concerning common claims against stockbrokers and investment professionals, please visit us at securitiesarbitrations.com
To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com
