Tag Archives: Steven Michael Roffman

Ameriprise Stockbroker Admits To Unauthorized Trading

Steven Michael Roffman of Jacksonville Florida a stockbroker formerly registered with Ameriprise Financial Services Inc. has been fined $7,500.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that (1) Roffman effected transactions in a customer’s account without the customer’s permission and (2) Roffman solicited customer […]

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Ameriprise Discharges Broker For ETF Misconduct

Steven Michael Roffman of Jacksonville Florida a stockbroker formerly employed by Ameriprise Financial Services Inc. has been discharged by the firm on March 22, 2016 supported by accusations that (1) Roffman inappropriately solicited one or more customer’s investments in leveraged and inverse ETF investments (2) Roffman traded in customer accounts without written authorization from the […]

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