Ameriprise Financial Archives

ER
August 18, 2021

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://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…

ER
July 29, 2021

Mark Barrand-Ameriprise Financial Broker-Discloses 4 Settled Customer Disputes and 2 Pending Disputes-Denver, CO

Mark Barrand-Ameriprise Financial Broker-Discloses 4 Settled Customer Disputes and 2 Pending Disputes-Denver, CO https://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 29, 2021 July 29, 2021

July 2021-Denver, CO According to publicly available records, a broker currently employed by Ameriprise Financial Services, Mark Barrand, discloses 4 settled customer disputes and 2 pending customer disputes. The Financial…

Robert Rex, Esq.
July 27, 2021

Investigation of Ameriprise Broker Norm Robbins -Boca Raton, FL

Investigation of Ameriprise Broker Norm Robbins -Boca Raton, FL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 27, 2021 July 27, 2021

July 2021- Boca Raton, FL We are investigating Ameriprise Financial Services financial advisor Norman (Norm) Robbins. According to publicly available records, Norm Robbins discloses a prior regulatory matter, 2 pending customer disputes and…

Robert Rex, Esq.
October 20, 2020

Peter D Nett-Ameriprise Broker- Discloses Pending Customer Dispute-The Woodlands, TX

Peter D Nett-Ameriprise Broker- Discloses Pending Customer Dispute-The Woodlands, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g October 20, 2020 October 20, 2020

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…

Robert Rex, Esq.
June 23, 2020

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://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. 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…

Robert Rex, Esq.
January 30, 2020

E.Kyle Davis-Former Raymond James Broker-Subject of $500K Suit Over Unit Investment Trust-Atlanta, GA

E.Kyle Davis-Former Raymond James Broker-Subject of $500K Suit Over Unit Investment Trust-Atlanta, GA https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g January 30, 2020 January 30, 2020

January 2020 – Atlanta, GA The FINRA records of E. Kyle Davis , a broker with Ameriprise FInancial Services discloses 2 prior regulatory events, a pending customer dispute and 3 prior customer disputes.…

Robert Rex, Esq.
January 2, 2020

Martin D. Batstone-Former Newbridge Securities Broker- Discloses 2 Regulatory Events and 6 Customer Disputes-San Diego, CA

Martin D. Batstone-Former Newbridge Securities Broker- Discloses 2 Regulatory Events and 6 Customer Disputes-San Diego, CA https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g January 2, 2020 January 2, 2020

January 2020 – San Diego, CA The FINRA records of of Martin David Batstone , a suspended stockbroker who was last employed by Newbridge Securities, disclose 2 regulatory events and 6 prior customer…

Robert Rex, Esq.
January 2, 2020

Corey L. Mireau-Former Ameriprise Financial Services Broker-Discloses Regulatory Event & Settled Customer Dispute-Eden Prairie, MN

Corey L. Mireau-Former Ameriprise Financial Services Broker-Discloses Regulatory Event & Settled Customer Dispute-Eden Prairie, MN https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g January 2, 2020 January 2, 2020

January 2020 – Eden Prairie, MN The FINRA records of Corey Lee Mireau, a stockbroker who is currently not registered with any broker dealer, disclose a regulatory event, 2 settled customer disputes, …

Robert Rex, Esq.
January 28, 2019

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://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. 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…