Brian Thomas Perry of Orange Park Florida is a stockbroker formerly registered with Ameriprise Financial Services Inc. who has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on consenting to findings that he neglected to provide FINRA with a response to its request for information from Perry. FINRA Case No. 2016049217101 (Mar. 9, 2017).
Apparently, Perry was notified on December 6, 2016 that he faced an upcoming suspension by FINRA. Perry was suspended on December 30, 2016 and had three months to request that his suspension be lifted. Yet, Perry failed to respond to FINRA by March 8, 2017, resulting in him being automatically barred in all capacities.
FINRA Public Disclosure reveals that Perry has been identified in four customer initiated investment related disputes pertaining to allegations of Perry’s misconduct during the time he was associated with Ameriprise Financial Services. In particular, on November 11, 2015, a customer filed an investment related written complaint that concerned Perry’s conduct where the customer sought $152,238.84 in damages based upon accusations that misrepresentations had been made to the customer with respect to the customer’s investments in Inland American and CNL real estate investment trust products. The customer additionally alleged that variable annuities purchases had been made that were not suitable for the customer.
Subsequently, on November 13, 2015, a customer filed an investment related written complaint regarding Perry’s activities in which the customer requested $51,213.48 in damages supported by allegations of unsuitability relating to the customer’s variable annuity purchases. On November 19, 2015, another customer filed an investment related written complaint that pertained to Perry’s activities where the customer sought $24,353.77 in damages founded on accusations that Perry made unsuitable recommendations to the customer regarding investments in mutual funds, stocks, as well as variable and fixed annuities.
Thereafter, on December 13, 2016, a customer filed an investment related written complaint regarding Perry’s conduct in which the customer requested $227,000.00 in damages based upon allegations that Perry placed mutual fund and equity trades in the customer’s account without authorization, inappropriately serviced the customer’s investment accounts and neglected to abide by the customer’s investment instructions.
Perry has no longer been associated with Ameriprise Financial Services, Inc. as of February 4, 2016.
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