October 2020- The Woodlands, TX
According to publicly available records, Peter Dieter Nett (CRD#4506990), a stockbroker employed with Ameriprise Financial Services, Inc., disclose a recently filed customer dispute.
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 January of 2020, an Ameriprise Financial Services customer filed FINRA case #20-00161 alleging that Nett recommended unsuitable investments including an energy fund and annuities. The claimants further allege that Nett recommended the investments in order to generate commissions. Damages are not specified.
Nett has been employed with Ameriprise Financial Services, INc. since September of 2005.
If you had an account with Peter Nett that suffered losses, you may be entitled to collect damages from his employer. Call to discuss your 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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