Ameriprise Financial Archives - Rex Securities Law-BLOG

ER
June 16, 2023
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Kevin D. Houser- Ameriprise Financial Broker-Discloses Customer Disputes Involving Franklin Square BDC, Cole Credit Property Trust IV and CIM REIT- Allen Town, PA

Kevin D. Houser- Ameriprise Financial Broker-Discloses Customer Disputes Involving Franklin Square BDC, Cole Credit Property Trust IV and CIM REIT- Allen Town, PA https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g June 16, 2023 June 16, 2023

Kevin D. Houser Investigation June 2023- Allen Town, PA The FINRA records of Kevin D. Houser , a stockbroker employed by Ameriprise Financial Services, disclose several customer disputes . The Financial…

Rex Securities Law
May 8, 2023
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Stifel Nicolaus & Co. Fined $2.5 Million For Allowing Broker to Make Unauthorized Trades

Stifel Nicolaus & Co. Fined $2.5 Million For Allowing Broker to Make Unauthorized Trades 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 8, 2023 May 8, 2023

Stifel Nicolaus Investigation May 2023- Taunton, MA According to publicly available records, Stifel Nicolaus & Co. has been fined $2.5 million by Massachusetts securities regulator William Galvin for ignoring a…

ER
February 28, 2023
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Darrell Roberts – Former Spire Securities Broker-Barred From Securities Industry by Regulators -Richardson, TX

Darrell Roberts – Former Spire Securities Broker-Barred From Securities Industry by Regulators -Richardson, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g February 28, 2023 February 28, 2023

Darrell Roberts Investigation February 2023 – Richardson, TX According to publicly available records Darrell Patrick Roberts, a former broker who last worked for Spire Securities, discloses a final regulatory matter resulting…

ER
February 27, 2023
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Darrell P. Roberts – Former Spire Securities Broker -Barred From Securities Industry by Regulators -Richardson, TX

Darrell P. Roberts – Former Spire Securities Broker -Barred From Securities Industry by Regulators -Richardson, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g February 27, 2023 February 27, 2023

Darrell Roberts Investigation February 2023 – Richardson, TX According to publicly available records Darrell Roberts,a former broker who last worked for Spire Securities, discloses a final regulatory matter resulting in a…

ER
February 27, 2023
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Jennifer White Marcontell- Ameriprise Financial Broker-Discloses Customer Dispute – Mont Belvieu, TX

Jennifer White Marcontell- Ameriprise Financial Broker-Discloses Customer Dispute – Mont Belvieu, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g February 27, 2023 February 27, 2023

Jennifer W. Marcontell Investigation February 2023- Mont Belvieu, TX According to publicly available records Jennifer White Marcontell a broker employed by Ameriprise Financial Services, discloses a final customer dispute. The Financial…

Rex Securities Law
September 23, 2022
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Dusty Lynn Sternadel – Former Ameriprise Financial Services Broker-Customer Alleges Theft -Barred From Securities Industry by Regulators -Wichita Falls, TX

Dusty Lynn Sternadel – Former Ameriprise Financial Services Broker-Customer Alleges Theft -Barred From Securities Industry by Regulators -Wichita Falls, 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 September 23, 2022 September 23, 2022

Dusty Lynn Sternadel Investigation September 2022-Wichita Falls, TX According to publicly available records Dusty Lynn Sternadel,a former broker who last worked for Ameriprise Financial Services, discloses a final regulatory matter resulting…

Rex Securities Law
August 30, 2022
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David W. Lentz-Former Kestra Broker-Has Customer Suit Seeking $2M- Alleges Churning – Kernersville, NC

David W. Lentz-Former Kestra Broker-Has Customer Suit Seeking $2M- Alleges Churning – Kernersville, NC 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 August 30, 2022 August 30, 2022

David Lentz Investigation August 2022-Kernersville, North Carolina The FINRA records of David W. Lentz, a former Kestra Investment Services broker and owner of Thorium Wealth Management disclose a pending customer dispute seeking millions in damages. The Financial Industry…

ER
July 13, 2022
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Anthony Bookman- Former Pickwick Capital Broker-Barred From Securities Industry by Regulators -Dallas, TX

Anthony Bookman- Former Pickwick Capital Broker-Barred From Securities Industry by Regulators -Dallas, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g July 13, 2022 July 13, 2022

Anthony Bookman Investigation July 2022-Dallas, TX According to publicly available records Anthony Rashad Bookman, a former broker who last worked for Pickwick Capital Partners & Seaport Global Securities, discloses a final regulatory…

ER
July 6, 2022
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Shawn Elizabeth Parker- Former Ameriprise Financial Services Broker-Barred From Securities Industry by Regulators -Schaumburg, IL

Shawn Elizabeth Parker- Former Ameriprise Financial Services Broker-Barred From Securities Industry by Regulators -Schaumburg, IL https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g July 6, 2022 July 6, 2022

Shawn Parker Investigation July 2022-Schaumburg, IL According to publicly available records Shawn Elizabeth Parker,a former broker who last worked for Ameriprise Financial Services, discloses a final regulatory matter resulting in a…