DAVID VICTOR JANNY (DAVID V JANNY) has been registered both as an investment advisor and as a broker with AMERIPRISE FINANCIAL SERVICES, LLC of Westport, Connecticut since 7/15/2022. He was previously registered as an investment advisor and broker with MORGAN STANLEY of Westport, Connecticut from 11/21/2012 - 08/03/2022.
According to FINRA’s BrokerCheck, available to the public on FINRA’s website, DAVID V JANNY has been in the securities industry for 41 years and has been listed with 4 firms. Janny has 8 disclosures on his FINRA CRD report between 2008 and 2024. All 8 disclosures are “Customer Disputes” -- 3 were denied, 2 are pending, and 3 have settled. The significance of DAVID V JANNY’s disclosures is underscored in FINRA NOTICE to MEMBERS 03-49. FINRA conducted a review of the CRD’s of all registered representatives, only .41% was the subject of 3 or more customer complaints. In other words, DAVID V JANNY’s customer complaints rank him in the top one hundredth percent of all registered representatives for customer complaints.
There was a dispute filed against DAVID V JANNY on 10/23/2024 that is currently pending. The damage amount requested is $500,000.00. The allegations are, “During the period July 2022-October 2023, claimants allege respondent recommended unsuitable investments including stocks in speculative precious metals and the energy sector.”
On 11/22/2023, another “Customer Dispute” was filed against DAVID V JANNY requesting damages of $5,000,000.00. The allegations are, “Claimants allege, inter alia, Excessive trading with respect to investments - Nov 2012 through July 2022.” This dispute is pending.
Another dispute filed against Janny dated 1/13/2011, settled for $135,000.00, and the requested damages were $130,000.00. The allegations were, “CLAIMANT ALLEGES HER ACCOUNT WAS AGGRESSIVELY TRADED IN HIGH RISK INVESTMENTS THAT WERE CONTRARY TO HER WISHES AND STATED OBJECTIVES. TIME FRAME: 12/2003-4/2010.” There is a Broker Comment listed on this disclosure.
To discuss this article or any other securities issues contact Soreide Law Group and speak to an experienced securities lawyer at no cost: 888-760-6552.
Soreide Law Group represents our clients nationwide before FINRA on a contingency fee basis, no fee to you if no recovery.
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CONCORDE INVESTMENTS SERVICES, LLC, and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC (Respondents). The Claimants are in their late 70s, retired, and according to the lawsuit, were not looking to take any unnecessary risks with their retirement savings. The Claimants […]
THEODORE WILLIAM BYRER (THEODORE W BYRER, TED BYRER) was registered as a broker with MORGAN STANLEY of Indianapolis, Indiana, from 11/11/2013 - 04/20/2023. He was most recently registered with INTERNATIONAL ASSETS ADVISORY, INC of Westfield, Indiana, from 05/09/2023 - 09/17/2024. According to his BrokerCheck CRD report, dated 7/23/2026, THEODORE W BYRER was suspended for 14 […]
MARK LAWRENCE SULLIVAN (MARK SULLIVAN, MARK L SULLIVAN), formerly with UBS Wealth Management USA in New York City, was fined $10,000 and suspended for three months by the Financial Industry Regulatory Authority (FINRA) over allegations that he traded in customers’ accounts without the proper approval. Sullivan was previously registered both as a broker and as an […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com