Carroll Thomas Clark Jr. (also known as Tom Clark) of Miami Florida a stockbroker formerly employed by Ameriprise Financial Services Inc. is referenced in a customer initiated investment related arbitration claim where the customer sought $75,000.00 in damages supported by accusations that (1) investment recommendations concerning real estate securities were not suitable for the customer and (2) the customer had been charged excessive fees and commissions as a result of purchasing the real estate security investments. Financial Industry Regulatory Authority (FINRA) Arbitration No. 17-00254 (Feb. 2, 2017).
FINRA Public Disclosure additionally confirms that a customer initiated investment related arbitration claim concerning Clark’s activities was resolved for $20,000.00 in damages founded on allegations that Clark gave the customer poor advice concerning the purchase of the CNL Lifestyle Properties Real Estate Investment Trust because the investment did not offer the customer liquidity. FINRA Arbitration No. 16-01190 (Jan. 13, 2017).
Clark has been employed by Ameriprise Financial Services Inc. since July 24, 1981.
