Andrew Joseph Hall, of Portland, Oregon, a stockbroker currently employed with Ameriprise Financial Services, Inc., is the subject of a customer initiated investment related arbitration claim, wherein the customer was awarded $191,772.00 in damages supported by findings that from May of 2014 to December of 2015, Hall negligently handled the customer’s investment account, breached his fiduciary duties, effected unit investment trust and equity transactions that were not suitable for the customer, and violated securities laws of the State of Oregon. Financial Industry Regulatory Authority (FINRA) Arbitration No. 16-01261 (June 27, 2017). The customer additionally alleged that Ameriprise Financial Services failed to supervise Hall’s activities in the customer’s account.
FINRA Public Disclosure additionally confirms that on July 19, 2001, a customer filed an investment related written complaint involving Hall’s conduct, in which the customer sought $60,000.00 in damages founded on accusations that while Hall was associated with U.S. Bancorp Piper Jaffray, Inc., over-the-counter equities trades were effected without the customer’s consent and an investment in FCSCX had been misrepresented.
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