Ameriprise Financial Services complaint Archives - Page 2 of 3

Rex Securities Law
February 1, 2018
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Gil Parks-Former Ameriprise Broker-Facing Numerous Customer Suits-Stephenville, TX

Gil Parks-Former Ameriprise Broker-Facing Numerous Customer Suits-Stephenville, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 1, 2018 July 18, 2018

JULY 2018 UPDATE-Stephenville, TX According to publicly available records Tom “Gil” Parks, Jr. , (CRD#1558909) , a stockbroker who is not currently registered and who last was employed by Ameriprise Financial Services discloses 6…

Rex Securities Law
October 17, 2017
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William W. Marshall-Ameriprise Broker-Subject of Pending Customer Suits Alleging Fraud-Plano, TX

William W. Marshall-Ameriprise Broker-Subject of Pending Customer Suits Alleging Fraud-Plano, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g October 17, 2017 April 12, 2018

April 2018-Plano, TX The FINRA records of William W. Marshall , a stockbroker who is currently registered with Ameriprise Financial Services disclose a prior regulatory event, 6 pending customer disputes including at least…

Rex Securities Law
June 23, 2017
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Ameriprise Financial Ordered to Pay Customer $440K For Making Improper Distributions From Retirement Account

Ameriprise Financial Ordered to Pay Customer $440K For Making Improper Distributions From Retirement Account https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 23, 2017 June 23, 2017

JUNE 2017 A FINRA arbitration panel of three public arbitrators in Omaha, Nebraska ordered Ameriprise Financial Services to pay a customer $440,000 in compensatory damages. The customer alleged breach of…

Rex Securities Law
May 18, 2017
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Darren McFadden-Cowboy Running Back- Files Lawsuit Against Ameriprise Financial

Darren McFadden-Cowboy Running Back- Files Lawsuit Against Ameriprise Financial https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 18, 2017 May 18, 2017

May 2017- Dallas, TX According to an article in the StarTribune, Darren McFadden, Dallas Cowboy running back , has filed a lawsuit against Ameriprise Financial, alleging that his broker, Michael Eugene Vick,…

Rex Securities Law
April 30, 2017
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Tom (Gil) Parks, Jr.-Former Ameriprise Broker-Discloses Numerous Customer Disputes Over Oil & Gas & Annuity Investments-Stephenville, TX

Tom (Gil) Parks, Jr.-Former Ameriprise Broker-Discloses Numerous Customer Disputes Over Oil & Gas & Annuity Investments-Stephenville, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 30, 2017 July 18, 2018

See this for JULY 2018 UPDATE JULY 2017-Stephenville, TX According to publicly available records Tom Gilliam Parks, Jr. , (CRD#1558909) , a stockbroker who is not currently registered and who last was employed…

Rex Securities Law
March 28, 2017
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 28, 2017 March 28, 2017

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…

Rex Securities Law
January 8, 2017
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g January 8, 2017 January 8, 2017

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…

Rex Securities Law
July 17, 2016
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 17, 2016 July 17, 2016

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…

Rex Securities Law
July 10, 2016
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 10, 2016 July 10, 2016

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…