arbitration notice

Stephen Christopher Tadlock (also known as Chris Tadlock), of Houston, Texas, a stockbroker formerly registered with Ameriprise Financial Services, is the subject of a customer initiated investment related FINRA securities arbitration claim which was settled for $65,000.00 in damages supported by allegations of Tadlock making an unsuitable recommendation to the customer concerning an annuity exchange while he was associated with Ameriprise Financial Services. FINRA Arbitration No. 19-00865 (June 1, 2020).

Tadlock was registered with Ameriprise Financial Services between May 3, 2013, and August 9, 2017. He was discharged by the securities broker dealer based upon accusations of him failing to keep records that pertained to customers’ investments, transactions, and suitability. The stockbroker was also registered with MML Investors Services LLC between February 15, 2018, and October 8, 2018, and Park Avenue Securities LLC between October 19, 2018, and September 26, 2019.