Investors apparently complained about securities broker Daniel Theodore Wilson [CRD: 2858765, Mystic, Connecticut], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Daniel Wilson worked for Ameriprise Financial Services LLC from April 8, 1997, to the present as a broker, and since May 26, 2011, as a financial advisor. Read on for a better understanding about disclosures involving this securities broker.
Specifically, an Ameriprise Financial Services LLC client filed FINRA Arbitration No. 23-03143 about Daniel Wilson. Primarily, the client alleged that Wilson made unsuitable recommendations and misrepresentations. Because of this, the client allegedly incurred damages linked to exchange-traded funds. Therefore, on September 23, 2024, Ameriprise Financial Services LLC settled this matter by paying the client $10,000 in damages.
Notably, a client of Ameriprise Financial Services LLC disputed Daniel Wilson’s sales practices, according to a complaint dated August 29, 2023. Allegedly, Wilson failed to follow instructions and made misrepresentations related to trading activity. It appears that Wilson allegedly caused the client to sustain damages connected to stocks and mutual funds. Consequently, the client sought compensation from Ameriprise Financial Services LLC or Wilson in the amount of $20,000 in this matter. However, the firm denied this complaint.
Did you suffer any investment-related losses because of Daniel Wilson? You should contact Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney regarding a possible recovery of your investment losses. Soreide Law Group has recovered losses for many investors throughout the US. Also, the firm works on a contingency fee basis and advances all costs. Wilson and brokerage firms Wilson worked for deny any accusations of sales practice violations.
Investors potentially experienced sales practice violations by securities broker Martin S. Berman [CRD: 2406962, Los Angeles, California], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Martin Berman worked for Cetera Advisors LLC from September 8, 2022, to the present, Cetera Investment Advisers LLC from November 12, 2020, to the present, and previously for […]
Investors might have sustained losses due to securities broker Derek Guy McLean [CRD: 1939560, Chino, California], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. McLean worked for First Allied Securities Inc. from May 30, 2008, to September 8, 2022, and later registered with Cetera Investment Advisers LLC on November 12, 2020, […]
Investors apparently complained about securities broker Daniel Theodore Wilson [CRD: 2858765, Mystic, Connecticut], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Daniel Wilson worked for Ameriprise Financial Services LLC from April 8, 1997, to the present as a broker, and since May 26, 2011, as a financial advisor. Read on […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com