Tag Archives: Geraldine Gordon

Ameriprise Financial Accused Of Providing Bad Investment Advice

April 08, 2020  |   Posted by :   |   Mutual Fund Fraud, Securities Arbitration Claims, Unsuitable Investment Recommendations   |   Comments Off on Ameriprise Financial Accused Of Providing Bad Investment Advice

Geraldine Gordon of Lexington Kentucky a stockbroker currently associated with Ameriprise Financial Services Inc. has been referenced in a customer initiated investment related complaint on December 10, 2018 in which the customer requested $149,980.77 in damages supported by allegations that closed end mutual fund recommendations made by Gordon failed to be suitable for the Ameriprise […]

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Ameriprise Financial Services Broker Sanctioned

Geraldine Gordon, of Lexington, Kentucky, a stockbroker currently registered with Ameriprise Financial Services, has been fined $7,500.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that she made unsuitable investment recommendations to a firm customer. Letter of Acceptance, Waiver and Consent, No. 2016049353501 […]

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