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 client disputes.
A client alleged that Sandeep Madhavan sold investments from her managed mutual fund account before receiving authorization, causing damages. On January 23, 2025, Ameriprise Financial Services settled the complaint for $11,225.49. Madhavan reportedly contributed the full settlement amount.
A client alleged that Madhavan recommended an unsuitable variable universal life insurance policy in October 2004 because the client could not afford the premiums. On May 11, 2009, the firm settled the complaint for $11,368.52. Madhavan reportedly contributed nothing.
A client alleged that Madhavan made misrepresentations involving life insurance products. American Express Financial Advisors settled the matter on June 28, 2005. Madhavan stated that he was dismissed from the case and contributed nothing to the settlement.
Did you sustain losses because of Sandeep Madhavan? Contact Soreide Law Group at (888) 760-6552 or online to speak with a securities attorney about a potential recovery. The firm works on a contingency fee basis and advances all costs. Madhavan and the firms he worked for deny accusations of sales practice violations.
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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