Steven Tarasius Yellen of El Paso Texas a stockbroker formerly registered with Ameriprise Financial has been terminated on January 12, 2018 based upon allegations that he engaged in options trading and outside business activities in violation of Ameriprise Financial’s policy.
Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that on November 13, 2015, a customer initiated investment related complaint concerning Yellen’s conduct was settled for $5,000.00 in damages founded on accusations that the customer’s instructions for the transfer of stock funds was not followed while Yellen was associated with Morgan Stanley Smith Barney.
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