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Renee R. Fields-Former Ameriprise Broker- Discloses Separation From Employment-Dallas, TX

Renee R. Fields-Former Ameriprise Broker- Discloses Separation From Employment-Dallas, TX

Renee R. Fields-Former Ameriprise Broker- Discloses Separation From Employment-Dallas, TX 150 150 Rex Securities Law

January 2017-Dallas, Texas

The FINRA records of  Renee Rochelle Fields,  a  stockbroker currently employed by Sagepoint Financial disclose a  separation from employment after allegations.

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In October 2016, Fields was ‘Permitted to Resign’ from Ameriprise Financial, who made the following allegations in connection with the separation from employment: “The registered representative was suspended on August 2, 2016 and permitted to resign on October 3, 2016 for policy violations including failing to disclose material information to clients; use of an unsuitable trading strategy involving mutual funds; and use of discretion in non-discretionary accounts by failing to timely execute orders.”

Fields made the following statement on her FINRA record: “Financial advisor disputes the allegations as to policy violations. Financial advisor will be filing a legal action to remove the inaccurate and misleading disclosure”.

Fields has been registered with Sagepoint Financial since October 2016 and was registered with Ameriprise Financial from 5/1998-11/2016.

If you have questions about an account in an account handled by Renee R. Fields , contact us to discuss your legal options.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

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Rex Securities Law

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Texas-512-329-2870

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