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Ameriprise Financial

Shane D. Ireland-Former Edward Jones Broker-Discloses Termination From Employment-Stuart-FL
Shane D. Ireland-Former Edward Jones Broker-Discloses Termination From Employment-Stuart-FL 150 150 Rex Securities Law

Stuart, Florida According to publicly available records Shane David Ireland  , (CRD# 5891934) ,  a   currently unregistered stockbroker who last worked for Ameriprise Financial Services,  discloses  a termination from employment. The Financial Industry Regulatory…

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Dean T. Nicholson-Sagepoint Financial Broker-Discloses Pending Customer Arbitration
Dean T. Nicholson-Sagepoint Financial Broker-Discloses Pending Customer Arbitration 150 150 Rex Securities Law

August  2016-Summerfield / The Villages, Florida The FINRA records of Dean T. Nicholson ,  a  stock broker who is currently employed by Sagepoint Financial, dba Elliott Wealth Management Services  , disclose a prior final regulatory event, a prior customer…

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Bahram Mirhashemi-Former Accelerated Capital Group Broker-Discharged & Barred from Securities Industry
Bahram Mirhashemi-Former Accelerated Capital Group Broker-Discharged & Barred from Securities Industry 150 150 Rex Securities Law

July 2016 The FINRA records of Bahram Mirhashemi  , a stock broker who formerly was employed by Accelerated Capital Group  , disclose 2 prior final regulatory events,  a currently pending regulatory event, 5 currently  pending customer disputes, a prior final customer…

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Gary L. Glover-Former Ameriprise Broker-Disputes Customer Dispute Over Tenant in Common Investment
Gary L. Glover-Former Ameriprise Broker-Disputes Customer Dispute Over Tenant in Common Investment 150 150 Rex Securities Law

July 2016- John Creek, Georgia The FINRA records of Gary L. Glover  , a stock broker currently employed by Concorde Investment Services, disclose  a prior final customer dispute,  2 pending customer disputes, a prior final financial event…

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Ameriprise Broker Sanctioned for Sale of BioChemics Scientific Stock-Plano, Texas
Ameriprise Broker Sanctioned for Sale of BioChemics Scientific Stock-Plano, Texas 150 150 Rex Securities Law

February 9, 2016- Plano, Texas William Wesley Marshall entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  he participated in private securities…

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Securities Regulators Sanction Ameriprise Broker in Plano, TX
Securities Regulators Sanction Ameriprise Broker in Plano, TX 150 150 Rex Securities Law

December 29 , 2015-Plano, Texas David Lowenthal entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with Ameriprise as a…

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Ameriprise Financial Broker in Plano, TX, Sanctioned by Securities Regulator
Ameriprise Financial Broker in Plano, TX, Sanctioned by Securities Regulator 150 150 Rex Securities Law

September 24,  2015- Plano, Texas  John Joseph Kolinofsky, Jr , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while acting…

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Dylan Grayson- Merrill Lynch Broker in Plano Texas-Barred from Securities Industry
Dylan Grayson- Merrill Lynch Broker in Plano Texas-Barred from Securities Industry 150 150 Rex Securities Law

July 9 , 2015- Plano, Texas Dylan Patrick Grayson ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to provide…

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