David Charles Turetzky of Saddle Brook New Jersey a stockbroker currently registered with Ameriprise Financial Services LLC is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer sought $500,000.00 in damages founded on allegations of sales practice violations pertaining to the customer’s account at Ameriprise. Financial Industry Regulatory […]
Read More »Investors File Arbitration Claim Against Ameriprise
FINRA Sanctions Ameriprise Stockbroker For Sale of Unsuitable Investments
Angel Wynette Bardeche (also known as Angel Wynette Lentz) of Cincinnati Ohio a stockbroker formerly registered with Ameriprise Financial Services has been fined $10,000.00 and suspended for nine months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Bardeche made unsuitable recommendations to customers concerning a short-term […]
Read More »FINRA Sanctions Ameriprise Stockbroker For Unauthorized Trading
Drew R. Mantel (also known as Drew R. Mentel) of Miamisburg Ohio a stockbroker formerly registered with Ameriprise Financial Services has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Mantel executed trades in customers’ accounts on an unauthorized […]
Read More »Ameriprise Accused Of Supposedly Selling Stock Without Authorization
Anthony John Leopizzi of White Plains New York a stockbroker currently registered with Ameriprise Financial Services is the subject of a customer initiated investment related written complaint which was settled on July 20, 2020 for $27,586.23 in damages based upon allegations of stock being sold from the customer’s Ameriprise Financial Services account without the customer’s […]
Read More »Ameriprise Terminates Stockbroker For Churning Fixed Income Securities
Eric Travis Roark of New York New York a stockbroker formerly registered with Ameriprise Financial Services has been discharged by the securities broker dealer on July 14, 2020 based upon accusations that Roark effected excessive fixed income securities trades in violation of company policy. Roark has been identified in two customer initiated investment related disputes […]
Read More »Haddon Heights Stockbroker Barred For Stealing From Elderly
Sean Michael Refsnider of Haddon Heights New Jersey a stockbroker formerly registered with Ameriprise Financial Services Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to a FINRA Office of Hearing Officers Order Accepting Offer of Settlement containing findings of Refsnider failing to cooperate with a […]
Read More »Ameriprise Stockbroker Terminated For Violating Firm Policy
Shawn Elizabeth Parker of Schaumburg Illinois a stockbroker formerly employed by Ameriprise Financial Services LLC has been terminated by the securities broker dealer on June 8, 2020 supported by allegations of her violation of company policy. Parker has been identified in five customer initiated investment related disputes containing allegations of her misconduct while she was […]
Read More »Investors Sue Marlton Stockbroker For Breach Of Fiduciary Duty
Barry David Abrams of Marlton New Jersey a stockbroker formerly employed by Ameriprise Financial Services is referenced in a customer initiated investment related arbitration claim where the customer sought $20,000.00 in damages based upon accusations that the customer had been placed into unsuitable investments including Corporate Capital Trust and FS Energy and Power (FSEP) which […]
Read More »FINRA Bars Ameriprise Stockbroker In Investigation
Bryant Edwin Caveness of Kingsport Tennessee a stockbroker formerly employed by Ameriprise Financial Services has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on findings that Caveness failed to comply with a FINRA investigation in regard to money that the stockbroker received from elderly customers. Letter of […]
Read More »Investors Sue Ameriprise For Breach Of Fiduciary Duty
Thomas David Sharp (also known as Tom Sharp) of Gold River Colorado a stockbroker currently registered with Ameriprise Financial Services LLC is the subject of a customer initiated investment related civil action in the Sacramento County California Superior Court where the customer sought unspecified damages based upon accusations of negligence and breach of a fiduciary […]
Read More »Ameriprise Stockbroker Barred In Investigation
Steven Glen Friedman of McLean Virginia a stockbroker formerly employed by Ameriprise Financial Services has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on accusations that he failed to furnish information to FINRA in response to its inquiry into his activities. Case No. 2018058107301 (July 1, 2019). […]
Read More »FINRA Sanctions Ameriprise Stockbroker For Selling Away
Robert Nicholas Korzik (also known as Bob Korzik) of Little Falls New Jersey a stockbroker formerly registered with Ameriprise Financial Services Inc. has been fined $8,500.00 and suspended for nine months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he engaged in private securities […]
Read More »FINRA Bars Ameriprise Stockbroker In Investigation
Arthur Stewart Hoffman (also known as Art S. Hoffman) of Glendale Arizona a stockbroker formerly registered with Ameriprise Financial Services LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that he failed to cooperate with a FINRA investigation into allegations of him engaging in […]
Read More »Haddon Heights Stockbroker Charged With Theft From Elder Widow
Sean Michael Refsnider of Haddon Heights New Jersey a stockbroker formerly registered with Ameriprise Financial Services Inc. has been charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that she converted funds belonging to a customer of Ameriprise. Department of Enforcement v. Sean Michael Refsnider Disciplinary Proceeding No. 2019063790901 (Apr. […]
Read More »Ameriprise Financial Accused Of Providing Bad Investment Advice
Geraldine Gordon of Lexington Kentucky a stockbroker currently associated with Ameriprise Financial Services Inc. has been referenced in a customer initiated investment related complaint on December 10, 2018 in which the customer requested $149,980.77 in damages supported by allegations that closed end mutual fund recommendations made by Gordon failed to be suitable for the Ameriprise […]
Read More »Ameriprise Financial Stockbroker Accused Of Annuity Misconduct
Edward Anthony Torres of Anaheim California a stockbroker currently employed by Ameriprise Financial Services is the subject of a customer initiated investment related written complaint on November 6, 2019 in which the customer requested $22,169.16 in damages based upon allegations that the customer was provided with poor investment advice by Torres in regards to the […]
Read More »Investors Sue Ameriprise For Unsuitable Investment Advice
Bradley Leo Renberg of West Des Moines Iowa a stockbroker registered with Ameriprise Financial Services Inc. is the subject of a customer initiated investment related arbitration claim where the customer sought $380,000.00 in damages based upon accusations of speculative and unsuitable energy sector equities held in the customer’s account at Ameriprise Financial Services. Financial Industry […]
Read More »Ameriprise Stockbroker Barred by FINRA In Investigation
Mark Joseph Sachse of Overland Park Kansas a stockbroker registered with Ameriprise Financial Services Inc. has been barred by Financial Industry Regulatory Authority (FINRA) from associating with any FINRA member in any capacity based upon allegations that the stockbroker failed to respond to the regulator’s request for information about his activities. FINRA Case No. 2018057939001 […]
Read More »Ameriprise Stockbroker Barred For Failing To Pay Arbitration Award
Cary Jarrett Kievman of Westlake Village California a stockbroker formerly registered with Ameriprise Financial Services Inc. has been suspended by Financial Industry Regulatory Authority (FINRA) from associating with any FINRA member in any capacity based upon accusations that the stockbroker neglected to comply with an arbitration award or settlement agreement or otherwise confirm her compliance […]
Read More »Ameriprise Sued By Investors For Unsuitable Investment Advice
William David Utanski of Fort Lauderdale a stockbroker formerly employed by Ameriprise Financial Services Inc. is the subject of a customer initiated investment related arbitration claim where the customer requested $125,000.00 in damages supported by allegations that (1) the customer was poorly advised on common or preferred stocks and (2) transactions failed to be suitable […]
Read More »Investors Sue Ameriprise For Bad Alternative Investments
Tom Gilliam Parks Jr. (also known as Gil Parks) of Stephenville Texas a stockbroker formerly registered with Ameriprise Financial Services Inc. is the subject of a customer initiated investment related arbitration claim which was resolved for $35,000.00 in damages based upon allegations that between August of 2014 and January of 2018, the customer had been […]
Read More »Investors Sue Ameriprise For Bogus Stock Sales
William Wesley Marshall of Plano Texas a stockbroker formerly registered with Ameriprise Financial Services is referenced in a customer initiated investment related arbitration claim which was resolved for $399,000.00 in damages supported by allegations that the customer was advised by Marshall to purchase fraudulent Colorado Rare Earths and BioChemics Inc. stocks that caused the customer […]
Read More »Ameriprise Financial Sued By Investors For Securities Fraud
Michael Anthony Lipscomb of Orlando Florida a stockbroker currently registered with Ameriprise Financial Services is the subject of a customer initiated investment related arbitration claim where the customer was awarded $40,000.00 in compensatory damages based upon Ameriprise being found liable on the customer’s claims including that (1) fiduciary duties were violated (2) contractual obligations had […]
Read More »Ameriprise Stockbroker Barred In Investigation
David Cohen Drees of Sandy Utah a stockbroker formerly registered with Ameriprise Financial Services Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that Drees neglected to cooperate with a FINRA inquiry that had been made after Drees was terminated from Ameriprise. Case No. […]
Read More »FINRA Bars Ameriprise Stockbroker Near Site of Lost Colony
Peter Richard Erhart of Roanoke Virginia a stockbroker formerly registered with Ameriprise Financial Services Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon accusations that he neglected to provide information to FINRA personnel that was requested of him during a pre-investigation inquiry. Case No. 2018058452701 […]
Read More »Ameriprise Sued For Failure To Follow Instructions
Joseph Lawrence Peggs of Seminole Florida a stockbroker currently registered with Ameriprise Financial Services Inc. is the subject of a civil action brought in the Circuit Court of Florida in which the plaintiff requested unspecified damages founded on allegations of the failure to execute distributions from the customer’s investment account in accordance with the customer’s […]
Read More »Ameriprise Financial Services Stockbroker Barred In Theft Investigation
James Edward Knee (also known as Jim Knee) of Concord New Hampshire a stockbroker formerly registered with Ameriprise Financial Services Inc. is the subject of a customer initiated investment related written complaint on February 26, 2019 in which the customer requested $20,615.79 in damages based upon allegations that unfounded statements had been made concerning an […]
Read More »Ameriprise Terminates Stockbroker For Unauthorized Trading
Daniel Scott Burges of Southlake Texas a stockbroker formerly employed by Ameriprise Financial Services Inc. has been terminated by the securities broker dealer on July 13, 2019 which was during a time in which he had been internally investigated for effecting trades in customer accounts without authorization in violation of Ameriprise Financial Services’ compliance policy. […]
Read More »Ameriprise Stockbroker Sanctioned For Unauthorized Trading
Steven Tarasius Yellen of El Paso Texas a stockbroker formerly registered with Ameriprise Financial Services Inc. has been fined $25,000.00 and suspended for one year from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings which included that (1) unauthorized trades were executed in a customer’s investment account by […]
Read More »Investors Accuse Ameriprise Of Providing Bad Investment Advice
Richard Paul Martin of Wappinger Falls New York a stockbroker currently registered with Ameriprise Financial Services Inc. is the subject of a customer initiated investment related complaint on April 29, 2019 where the customer requested $13,763.63 in damages based upon allegations of the customer being poorly advised by Martin in regard to the purchase of […]
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