Tag Archives: Steven Tarasius Yellen

Ameriprise Stockbroker Sanctioned For Unauthorized Trading

November 01, 2019  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Steven Tarasius Yellen of El Paso Texas a stockbroker formerly registered with Ameriprise Financial Services Inc. has been fined $25,000.00 and suspended for one year from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings which included that (1) unauthorized trades were executed in a customer’s investment account by […]

Read More »

Ameriprise Fires Broker For Outside Business Activities

Steven Tarasius Yellen of El Paso Texas a stockbroker formerly registered with Ameriprise Financial has been terminated on January 12, 2018 based upon allegations that he engaged in options trading and outside business activities in violation of Ameriprise Financial’s policy. Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that on November 13, 2015, a customer […]

Read More »