Tag Archives: Sean Michael Refsnider

Haddon Heights Stockbroker Barred For Stealing From Elderly

November 04, 2020  |   Posted by :   |   Misappropriation of Funds, Securities Arbitration Claims, Stockbroker Theft   |   Comments Off on Haddon Heights Stockbroker Barred For Stealing From Elderly

Sean Michael Refsnider of Haddon Heights New Jersey a stockbroker formerly registered with Ameriprise Financial Services Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to a FINRA Office of Hearing Officers Order Accepting Offer of Settlement containing findings of Refsnider failing to cooperate with a […]

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Haddon Heights Stockbroker Charged With Theft From Elder Widow

May 13, 2020  |   Posted by :   |   Misappropriation of Funds, Stockbroker Theft   |   Comments Off on Haddon Heights Stockbroker Charged With Theft From Elder Widow

Sean Michael Refsnider of Haddon Heights New Jersey a stockbroker formerly registered with Ameriprise Financial Services Inc. has been charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that she converted funds belonging to a customer of Ameriprise. Department of Enforcement v. Sean Michael Refsnider Disciplinary Proceeding No. 2019063790901 (Apr. […]

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