Tag Archives: Daniel Scott Burges

Ameriprise Terminates Stockbroker For Unauthorized Trading

November 15, 2019  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

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. […]

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