Tag Archives: Eric Travis Roark

Ameriprise Terminates Stockbroker For Churning Fixed Income Securities

December 07, 2020  |   Posted by :   |   Bond Fraud, Excessive Trading, Investment and Regulatory News   |   Comments Off on 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 […]

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