Tag Archives: William Wesley Marshall

Investors Sue Ameriprise For Bogus Stock Sales

William Wesley Marshall of Plano Texas a stockbroker formerly registered with Ameriprise Financial Services is referenced in a customer initiated investment related arbitration claim which was resolved for $399,000.00 in damages supported by allegations that the customer was advised by Marshall to purchase fraudulent Colorado Rare Earths and BioChemics Inc. stocks that caused the customer […]

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Customer Sues Ameriprise Financial For Suitability

William Wesley Marshall of Plano, Texas, a stockbroker currently registered with Ameriprise Financial Services, Inc., is the subject of a customer initiated investment related arbitration claim, in which the customer requested $200,000.00 in damages based upon allegations of omissions and misrepresentations and unsuitable investment recommendations relating to the sales of unregistered corporate debt securities. FINRA […]

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Ameriprise Financial Services Stockbroker Suspended For Private Securities Transactions

William Wesley Marshall of Plano, Texas, a stockbroker for Ameriprise Financial Services Inc., was fined $10,000.00 and suspended for fifteen months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that he engaged in unauthorized private securities transactions. Letter of Acceptance, Waiver and Consent, No. 2012033291204 (Feb. […]

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