Dawn M. Collum Investigation
February 2022- Kerrville, Texas
According to publicly available records, Dawn M. Collum , a broker with Ameriprise Financial in Kerrville, Texas, discloses a customer complaint.
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 2006 a customer of prior employer Morgan Stanley Dean Witter alleged that Collum made unsuitable investments in corporate bonds. The firm denied the complaint and the customer did not pursue it further.
Collum began working for Ameriprise Financial Services in 2012.
If you have questions about an account handled by Dawn Collum, call to speak with an experienced securities attorney. No charge for initial consultation.
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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