Tag Archives: Daniella Rebecca Rand

Investors Sue Ameriprise For Breach Of Fiduciary Duty

Kevin Scott Kellogg of San Diego California a stockbroker currently employed by Ameriprise Financial Services Inc. is the subject of a customer initiated investment related arbitration claim where the customer sought $247,112.52 in damages founded on accusations that (1) fiduciary duties owed to the customer were not abided by (2) unauthorized transactions were placed in […]

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Morgan Stanley Discharges Broker For Misconduct

November 03, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Daniella Rebecca Rand of San Francisco California a stockbroker formerly employed by Morgan Stanley has been discharged by the firm on March 6, 2017 based upon Morgan Stanley’s allegations that Rand violated the firm’s customer correspondence directives and provided inaccurate or incomplete information to the firm in regard to Rand’s activities when investigated for misconduct. […]

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