Randall A. Samson (CRD #2691518, Manteca, California)
was barred by FINRA for allegedly converting $10,000 from the 401(k) account of an employee, who was also a client, of his member firm.
FINRA's findings stated that Samson, without the individual’s knowledge or consent, used his position as the plan’s trustee to complete a $10,000 distribution from the 401(k) account to his personal bank account. Samson used the proceeds to fund payroll and other overhead expenses for his company.
Also, FINRA's findings stated that Samson provided false statements to his firm’s compliance staff in connection with an inquiry into the $10,000 distribution in an effort to conceal his misconduct.
(FINRA Case #2014040829901)
Randall A. Samson was registered in the securities industry for 18 years and was previously registered with the following securities firms:
01/1996 - 04/2014 AMERIPRISE FINANCIAL SERVICES, INC. (CRD# 6363) - OAKDALE, CA
01/1996 - 07/2006 IDS LIFE INSURANCE COMPANY (CRD# 6321) - MINNEAPOLIS, MN
This ends the summation from FINRA's Website under "Disciplinary and Other Actions February 2015."
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