ameriprise financial investigation Archives

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
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
March 22, 2022
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James Dunn, Jr. -Former Ameriprise Financial Broker-Discloses $3.6M+ in Settle Disputes- Vienna, VA

James Dunn, Jr. -Former Ameriprise Financial Broker-Discloses $3.6M+ in Settle Disputes- Vienna, VA 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 March 22, 2022 March 22, 2022

James William Dunn, Jr. Investigation March 2022- Vienna, VA The FINRA records of James William Dunn, Jr, a currently unregistered broker who was last employed by Ameriprise Financial Services, disclose 19 prior…

Rex Securities Law
November 5, 2021
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Bryant Caveness-Former Ameriprise Financial Broker-Discloses Customer Suits-Kingsport, TN

Bryant Caveness-Former Ameriprise Financial Broker-Discloses Customer Suits-Kingsport, TN 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 November 5, 2021 November 5, 2021

Bryant Caveness Investigation November 2021-Kingsport, TN According to publicly available records, Bryant E. Caveness, a former broker who was last employed by Ameriprise Financial Services, discloses a recent regulatory matter, 3…

ER
August 18, 2021
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Clyde Jensen -Former TD Private Client Wealth Broker-Discloses Pending Regulatory Event- Tampa, FL

Clyde Jensen -Former TD Private Client Wealth Broker-Discloses Pending Regulatory Event- Tampa, FL 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 August 18, 2021 August 18, 2021

August 2021 – Tampa, FL According to publicly available records , Clyde Anthony Jensen, a former broker with TD Private Client Wealth and Ameriprise disclose a pending regulatory event involving being named as…

Rex Securities Law
June 23, 2020
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Matthew King-Cambridge Investment Research Broker- Terminated From Employment-Corpus Christi, TX

Matthew King-Cambridge Investment Research Broker- Terminated From Employment-Corpus Christi, 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 June 23, 2020 June 23, 2020

June 2020- Corpus Christi, TX The FINRA records of Matthew J. King, a broker currently employed by Cambridge Investment Research Advisors, Inc. , disclose a termination from employment. The Financial Industry Regulatory Authority…

Rex Securities Law
January 28, 2019
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Justin Montandon-Ameriprise Broker-Discloses Regulatory Event and 2 Customer Disputes-Austin, TX

Justin Montandon-Ameriprise Broker-Discloses Regulatory Event and 2 Customer Disputes-Austin, 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 28, 2019 January 28, 2019

January 2019 – Austin, TX According to public records of Justin A. Montandon (CRD#4455879) a stockbroker employed by Ameriprise Financial Services, Inc., discloses a regulatory event, a customer dispute settlement. The…

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
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,…