Ameriprise Financial

  • Robert Rex, Esq.

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 150 150 Robert Rex, Esq.

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…

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  • Robert Rex, Esq.

Ameriprise Financial Ordered to Pay Customer $440K For Making Improper Distributions From Retirement Account
Ameriprise Financial Ordered to Pay Customer $440K For Making Improper Distributions From Retirement Account 150 150 Robert Rex, Esq.

JUNE 2017 A FINRA arbitration panel of three public arbitrators in Omaha, Nebraska ordered Ameriprise Financial Services to pay a customer $440,000 in compensatory damages. The customer alleged breach of…

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  • Robert Rex, Esq.

Darren McFadden-Cowboy Running Back- Files Lawsuit Against Ameriprise Financial
Darren McFadden-Cowboy Running Back- Files Lawsuit Against Ameriprise Financial 150 150 Robert Rex, Esq.

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,…

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  • Robert Rex, Esq.

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 150 150 Robert Rex, Esq.

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…

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  • Robert Rex, Esq.

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 150 150 Robert Rex, Esq.

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…

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  • Robert Rex, Esq.

Dean T. Nicholson-Sagepoint Financial Broker-Discloses Pending Customer Arbitration
Dean T. Nicholson-Sagepoint Financial Broker-Discloses Pending Customer Arbitration 150 150 Robert Rex, Esq.

August  2016-Summerfield / The Villages, Florida The FINRA records of Dean T. Nicholson ,  a  stock broker who is currently employed by Sagepoint Financial, dba Elliott Wealth Management Services  , disclose a prior final regulatory event, a prior customer…

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  • Robert Rex, Esq.

Bahram Mirhashemi-Former Accelerated Capital Group Broker-Discharged & Barred from Securities Industry
Bahram Mirhashemi-Former Accelerated Capital Group Broker-Discharged & Barred from Securities Industry 150 150 Robert Rex, Esq.

July 2016 The FINRA records of Bahram Mirhashemi  , a stock broker who formerly was employed by Accelerated Capital Group  , disclose 2 prior final regulatory events,  a currently pending regulatory event, 5 currently  pending customer disputes, a prior final customer…

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  • Robert Rex, Esq.

Gary L. Glover-Former Ameriprise Broker-Disputes Customer Dispute Over Tenant in Common Investment
Gary L. Glover-Former Ameriprise Broker-Disputes Customer Dispute Over Tenant in Common Investment 150 150 Robert Rex, Esq.

July 2016- John Creek, Georgia The FINRA records of Gary L. Glover  , a stock broker currently employed by Concorde Investment Services, disclose  a prior final customer dispute,  2 pending customer disputes, a prior final financial event…

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