Tag Archives: Robert Neal Kampfer

Ameriprise Broker Investigated For Misconduct

June 21, 2018  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Robert Neal Kampfer of Woodbury New York a stockbroker employed by Ameriprise Financial Services Inc. is the subject of a Financial Industry Regulatory Authority (FINRA) investigation commencing on February 16, 2018 concerning accusations of Kampfer violating (1) FINRA Rules 2010 and 2111 by effecting unsuitable mutual fund trades in customer accounts and (2) FINRA Rule […]

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