Tag Archives: Stephen John Caruso

Investors Blame Ameriprise Financial For Bad Investment Advice

Sof New York New York a stockbroker formerly registered with Ameriprise Financial Services Inc. is referenced in a customer initiated investment related written complaint on January 2, 2018 where the customer sought $97,140.00 in damages based upon allegations that the customer was placed into unsuitable annuity products between 2012 and 2016. Financial Industry Regulatory Authority […]

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Ameriprise Fires Broker For Unauthorized Trading

August 15, 2017  |   Posted by :   |   Unauthorized Trading   |   0 Comments

Stephen John Caruso, of New York, New York, a stockbroker registered with Ameriprise Financial Services, has been fired from his job on May 27, 2016, based upon allegations that he committed numerous violations of the firm’s policies. Apparently, Caruso’s faulty conduct involved exercising discretion in a customer’s account despite the account not having been approved […]

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