Robert Neal Kampfer of Woodbury New York a stockbroker employed by Ameriprise Financial Services Inc. is the subject of a Financial Industry Regulatory Authority (FINRA) investigation commencing on February 16, 2018 concerning accusations of Kampfer violating (1) FINRA Rules 2010 and 2111 by effecting unsuitable mutual fund trades in customer accounts and (2) FINRA Rule 2010 and National Association of Securities Dealers (NASD) Rule 2510 by trading in customer accounts without authorization.
FINRA Public Disclosure reveals that Kampfer was terminated from Ameriprise Financial Services, Inc. on October 22, 2015 founded on allegations of unauthorized trading and suitability.
FINRA Public Disclosure confirms that Kampfer is referenced in four customer initiated investment related disputes pertaining to accusations of his wrongdoing while employed by Green Tree, Oppenheimer & Co. Inc. and Janney Montgomery Scott LLC. Specifically, on October 22, 2004, a customer filed an investment related complaint concerning Kampfer’s activities in which the customer sought $1,000,000.00 in damages supported by allegations that mutual fund transactions were placed in the customer’s account that were not suitable for the customer. Then, on October 9, 2007, a customer filed an investment related complaint involving Kampfer’s conduct where the customer requested damages estimated to exceed $5,000.00 based upon accusations of unsuitable preferred stock and unit investment trust transactions having been executed in the customer’s account.
Kampfer was registered with Maxim Group LLC between December 3, 2015 and June 4, 2018.
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