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 Kerrie Lynn Best [CRD: 2834846, Spring Hill, Florida], based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kerrie Best worked for Raymond James Associates Inc. beginning August 9, 2006, as a securities broker and beginning August 10, 2006, as a financial advisor. Investors […]
Investors potentially incurred losses because of securities broker Cooper Morgan Carden [CRD: 6902893, Hoover, Alabama], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Cooper Carden worked for Northwestern Mutual Investment Services LLC from December 10, 2019, to March 17, 2026. See below to find out more about the securities broker’s disclosures. Northwestern Mutual […]
Investors might have sustained losses due to securities broker Michael Owen Barry [CRD: 2690041, New Orleans, Louisiana], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Michael Barry has been registered with Stifel Nicolaus Company in New Orleans, Louisiana, since July 7, 2015, as both a broker and financial advisor. Investors are encouraged to […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com