Tag Archives: Eric Steven Korhut

Ameriprise Broker Admits To Unauthorized Trading

Eric Steven Korhut of Johnstown Pennsylvania a stockbroker formerly registered with Ameriprise Financial Services Inc. has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he executed unauthorized trades in customer accounts. Letter of Acceptance Waiver and Consent No. 2016051348101 […]

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Ameriprise Terminates Broker For Compliance Violations

September 15, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Eric Steven Korhut, of Johnstown, Pennsylvania, a stockbroker formerly registered with Ameriprise Financial Services, Inc., has been terminated on August 30, 2016, based upon allegations that he exercised discretion in customer accounts without the firm’s approval of the accounts as discretionary. The firm also alleged that Korhut failed to comply with the firm’s supervision policies […]

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