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Ameriprise Financial Broker Barred for Obstructing Investigation

September 28, 2015 | Posted by : Guiliano Law Group | Failure To Supervise, Forgery, Investment and Regulatory News, Unauthorized Trading | 0 Comments

Bart James Ellis, a registered representative with Ameriprise Financial Services, Inc., was permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) firm in any capacity after FINRA’s Office of Hearing Officers rendered a Default Decision finding that Ellis had falsified customer account documents, exercised unauthorized discretion in a customer’s account, and failed to […]

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Ameriprise Financial Broker Barred for Obstructing Investigation

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