Deane Serfer Rudofker, of Philadelphia, Pennsylvania, a stockbroker registered with Ameriprise Financial Services, Inc., has been terminated from employment based upon allegations that he engaged in communications and solicitations of investments with customers in a manner which violated Ameriprise’s solicitation rules.
This is not the first time Rudofker was terminated for misconduct by a brokerage firm. Particularly, Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that on August 27, 2015, Rudofker was terminated from previous employer, Wells Fargo Advisors, LLC, based upon allegations that he made false statements to his firm concerning communications with a customer.
Moreover, Rudofker has been identified in three customer initiated investment related disputes containing allegations of his misconduct while employed with Prudential Securities Incorporated, and Wells Fargo Advisors, LLC. Specifically, on November 6, 2003, a customer filed an investment related written complaint involving Rudofker’s conduct, where the customer requested $76,570.07 in damages based upon allegations that Rudofker failed to follow the customer’s stop loss instructions, which caused the customer to sustain losses on equity holdings.
Subsequently, on June 30, 2010, a customer filed an investment related written complaint regarding Rudofker’s activities, in which the customer requested $35,000.00 in damages based upon allegations that he did not timely execute a closed-end fund transaction. Further, Rudofker has been named in a customer initiated investment related written complaint on March 6, 2017, in which the customer requested more than $5,000.00 in damages based upon allegations that Rudofker effected unauthorized Facebook stock transactions in the customer’s account and mishandled the customer’s retirement funds.
Since June 14, 2016, Rudofker has been registered with Summit Brokerage Services, Inc.
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