Henry Joseph Cormier of Farmington, Connecticut, a stockbroker registered with Ameriprise Financial Services LLC, was the subject of a customer initiated investment related complaint that was settled on January 31, 2022, for $41,277.44 in damages based upon allegations that Cormier engaged in unauthorized trading in over-the-counter equities when Cormier was associated with Ameriprise Financial Services LLC.
Financial Industry Regulatory Authority (FINRA) Public Disclosure shows that Cormier is referenced in four other customer initiated investment related disputes concerning Cormier’s conduct while associated with securities broker dealers. A customer filed an investment related complaint involving Cormier’s conduct in which the customer requested $9,000.00 in damages based upon allegations that Cormier made unsuitable recommendations of limited partnerships during the time that Cormier was associated with Ameriprise Financial Services LLC. The securities broker dealer denied this complaint.
Another customer filed an investment related complaint involving Cormier’s conduct in which the customer requested $12,406.35 in damages based upon allegations that Cormier made unsuitable recommendations of mutual funds. This complaint was denied by the securities broker dealer.
Cormier was also referenced in a customer initiated investment related complaint in which the customer requested $11,234.00 in damages based upon allegations that Cormier made omissions of material fact in connection with the sale of variable annuities. The securities broker dealer denied this complaint.
On August 8, 2016, another customer filed an investment related complaint involving Cormier’s conduct in which the customer requested $31,569.86 in damages based upon allegations that Cormier made unsuitable recommendations of insurance products when Cormier was associated with Ameriprise Financial Services LLC. This complaint was denied by the securities broker dealer.
Cormier has been associated with Ameriprise Financial Services LLC as a stockbroker since April 9, 1981, and as an investment advisor representative since June 13, 1989.
