Ameriprise Financial Services Archives - Rex Securities Law-BLOG

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…

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…

ER
August 29, 2022
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Bruce Amman- Former LPL Financial Broker-Suspended From Securities Industry by Regulators – Golden, CO

Bruce Amman- Former LPL Financial Broker-Suspended From Securities Industry by Regulators – Golden, CO 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 29, 2022 August 29, 2022

Bruce Amman Investigation August 2022-Golden, CO According to publicly available records Bruce Amman, a former broker who last worked for LPL Financial, discloses a final regulatory matter resulting in a one…

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…

Rex Securities Law
August 6, 2018
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Michael J. Pepe-Ameriprise Broker-Subject of $750,000 Customer Suit-Tampa, FL

Michael J. Pepe-Ameriprise Broker-Subject of $750,000 Customer Suit-Tampa, 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 August 6, 2018 August 6, 2018

August 2018-Tampa, Florida The FINRA records of Michael J. Pepe, a stock broker who is currently employed by Ameriprise Financial Services , disclose a recently filed customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

Rex Securities Law
June 27, 2017
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Judy K Morehead-Former Navarre Beach Chamber CEO-Charged With Securities Fraud-Navarre Beach, AL

Judy K Morehead-Former Navarre Beach Chamber CEO-Charged With Securities Fraud-Navarre Beach, AL 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 27, 2017 June 27, 2017

June 2017-Navarre Beach, Alabama The Alabama Securities Commission announced that Judy Kay Morehead of Henry County, Alabama, turned herself in to the Henry County Jail upon an arrest warrant charging…

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…