Tag Archives: Roy Elmer McGuffin

Ameriprise Terminates Stockbroker For Violating Policy

January 09, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Roy Elmer McGuffin of Cincinnati, Ohio, a stockbroker registered with Ameriprise Financial Services, Inc., was terminated from employment on September 19, 2017, based upon accusations that he may have violated the firm’s policies with respect to a customer’s beneficiary designation. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that on August 9, 2017, a customer […]

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