Thomas David Sharp (also known as Tom Sharp) of Gold River, California, a stockbroker formerly registered with Ameriprise Financial Services LLC, has been fined $10,000.00 and suspended for 45 days from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Sharp borrowed money from a customer in violation of firm policies….
Thomas David Sharp (also known as Tom Sharp) of Gold River Colorado a stockbroker currently registered with Ameriprise Financial Services LLC is the subject of a customer initiated investment related civil action in the Sacramento County California Superior Court where the customer sought unspecified damages based upon accusations of negligence and breach of a fiduciary…
Thomas David Sharp, of Folsom California, a stockbroker registered with Ameriprise Financial Services, Inc., has been named in a customer initiated investment related civil action, in which the customer requested compensatory damages based upon allegations that Sharp made unsuitable investment recommendations to the customer concerning real estate investment trusts. Civil Action No. 34201700208443 (Mar. 6,…