On January 5, 2018, FINRA barred
LARRY MARTIN BOGGS (LARRY M. BOGGS) CRD#: 1582741)
for alleged excessive and unsuitable trading in the accounts of five elderly clients.
FINRA stated that Boggs also allegedly exercised improper discretion in the elderly clients’ accounts without written authorization in 2014 and 2015 when employed as a broker at Ameriprise Financial Services in Dallas, Texas. One of Boggs’ clients, according to the FINRA report, was an 82-year old retired university professor. Allegedly, this client stated his investment objectives were growth and income, and risk tolerance was moderate. According to FINRA, Larry M. Boggs initiated 101 transactions causing losses of $19,391, and the total commission charged was $34,889.
FINRA has barred Larry Martin Boggs from acting as a broker or otherwise associating with a broker-dealer firm.
According to FINRA’s BrokerCheck, Larry M. Boggs was in the securities industry for 29 years and had 3 ‘Disclosures’ on his report. On 5/7/15, there was an 'employment separation' listed. Boggs was discharged from AMERIPRISE FINANCIAL SERVICES, INC. following allegations of “violations of company policy related to discretionary trading and suitability.
Boggs had been listed with 6 firms, the two most recent below:
05/27/2015 - 07/01/2016 WEDBUSH SECURITIES INC - DALLAS, TX
10/05/2009 - 05/15/2015 AMERIPRISE FINANCIAL SERVICES INC - DALLAS, TX
If you or an elderly family member suffered losses due to the actions or recommendations of former Ameriprise and Wedbush of Dallas, Texas broker, Larry M. Boggs, call Soreide Law Group and speak to an experienced securities lawyer regarding the possible recovery of your investment losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group will represent you nationwide before FINRA. We operate on a contingency fee basis.
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