Tag Archives: Lorene Fairbanks

FINRA Fines Ameriprise Stockbroker For Customer Loan

May 08, 2019  |   Posted by :   |   Customer Loans, Investment and Regulatory News   |   0 Comments

Lorene Fairbanks (also known as Lori Miller) of Canfield Ohio a stockbroker formerly employed by 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 (1) Fairbanks entered into an unapproved customer loan arrangement in which Fairbanks […]

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Ameriprise Financial Fires Broker For Unauthorized Borrowing

July 29, 2017  |   Posted by :   |   Customer Loans   |   0 Comments

Lorene Fairbanks, of Canfield, Ohio, a stockbroker registered with Ameriprise Financial, has been terminated from employment on May 18, 2017, based upon allegations that Fairbanks borrowed funds from a customer and corresponded with customers in violation of the firm’s policies. This is not the first time that Fairbanks has been terminated from employment based upon […]

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