A former Fort Lauderdale Ameriprise investment advisor, Shawn Sapp, was fined $25,000 by the Florida Office of Financial Regulation on Nov. 19, 2013, for taking loans from clients and not disclosing his criminal past. Sapp is banned from registering as a financial professional in the state of Florida for three years. Sapp was employed by Ameriprise from August, 2007 until his resignation on Jan. 29, 2013. Ameriprise has a policy against borrowing money from a client.
It was alleged that Sapp deposited a check from his client into Sapp's own personal brokerage account at Ameriprise, instead of the client’s account, in November, 2012. Sapp made several ATM withdrawals from that account and used a check from the same client to put funds into the Ameriprise account of another client.
Also, Sapp did not make Ameriprise aware of his arrest on felony charges on June 21, 2009. Sapp filed an application on Jan. 26 to became an investment adviser for another firm, also without disclosing his felony arrest. His application was denied.
Soreide Law Group is located in Fort Lauderdale and represents investors nationwide before FINRA. Soreide Law Group can be reached (954) 760-6552.
Zachary Cuyler Green, also known as Zach Green (CRD: 5714566), is a securities broker based in Raleigh, North Carolina. A client has claimed investment losses in a complaint involving Green, according to Financial Industry Regulatory Authority (FINRA) BrokerCheck. Green worked with Merit Financial Advisors since May 8, 2025, and Purshe Kaplan Sterling Investments since May […]
Adam T. Taff, also known as Adam Taff (CRD: 5933315), is a securities broker and financial advisor in Charlotte, North Carolina. He has been registered with MML Investors Services LLC as a broker since July 26, 2011, and as a financial advisor since November 30, 2012. Taff disclosed a client complaint involving alleged investment losses, […]
Investors might have sustained losses due to securities broker Donald Paul Robbins [CRD: 4364668, Waxhaw, North Carolina], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Robbins has been registered with MML Investors Services LLC as a broker since April 8, 2016, and as a financial advisor since April 12, 2016. Keep reading […]
Phone:
Fax: 1-954-760-6553
Email: [email protected]