Investors apparently complained about securities broker Patrick Wayne Norris [CRD: 5119082, Vero Beach, Florida], according to disclosures found on FINRA BrokerCheck. Evidently, Norris has worked for Fidelity Brokerage Services LLC since March 27, 2024, and Strategic Advisers LLC since March 31, 2025. His prior employment includes Fidelity Personal and Workplace Advisors from April 23, 2024, to March 31, 2025, Ameriprise Financial Services LLC from November 1, 2021, to March 8, 2024, and CUNA Brokerage Services Inc. from December 22, 2020, to November 3, 2021. Read below to find out more about the disclosures involving Norris and the firms where he worked.
Particularly, on March 24, 2025, an Ameriprise Financial Services LLC client filed a complaint about Patrick Norris. Mainly, the client alleged that Norris misrepresented the tax consequences an annuity transfer. Because of this, the client allegedly sustained damages linked to variable annuities. For this reason, the client requested $17,019 in compensation from Ameriprise Financial Services LLC or Norris.
Also, a client of CUNA Brokerage Services Inc. disputed Patrick Norris’s sales practices, based on a complaint. Allegedly, Norris made unsuitable recommendations about mutual funds, given the client’s risk tolerance. As a result, CUNA Brokerage Services Inc. agreed to settle the matter on April 7, 2022, by compensating the client in the amount of $28,917.85.
Do you need clarification on any investment losses relating to Patrick Norris? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk to a securities attorney about a possible recovery of your investment losses. Soreide Law Group helps to recover losses for clients throughout the country. The firm also works on a contingency fee basis and advances all costs. Norris and brokerage firms Norris worked for deny all allegations referenced in public disclosures.
Investors potentially incurred losses because of securities broker Sandeep Madhavan [CRD: 4673687, El Segundo, California], according to information disclosed through FINRA BrokerCheck. Madhavan has worked for Ameriprise Financial Services as a securities broker since August 15, 2003, and as a financial advisor since May 10, 2007. Continue reading to find out more about the disclosed […]
Investors may have suffered financial harm by securities broker Carlos C. Garcia [CRD: 2635960, Westport, Connecticut], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Garcia has worked for Kovack Securities Inc. and Kovack Advisors Inc. since October 19, 2012. See below to learn more about Garcia’s disclosures. Kovack Investor Accused Garcia Of […]
Investors might have sustained losses due to securities broker David Victor Janny [CRD: 1272727, Easton, Connecticut], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Janny has worked for Ameriprise Financial Services LLC since July 15, 2022, and previously worked for Morgan Stanley from November 21, 2012, to August 3, 2022. Investors […]
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