In June 2024, a customer claim naming Amir Navab (CRD 2437020) settled at Great Gable Wealth Management for $180,000. His BrokerCheck report also shows settled disputes at UBS Financial Services, starting in 2004.
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.
In June 2024, a customer claim naming Amir Navab (CRD 2437020) settled at Great Gable Wealth Management for $180,000. His BrokerCheck report also shows settled disputes at UBS Financial Services, starting in 2004.
Centaurus Financial appears as the firm on a pending customer arbitration against Brett Ewing (CRD 2904608). The customer filed it on September 14, 2026. According to BrokerCheck, the customer alleges that Ewing recommended unsuitable, illiquid investments from February 2016 through February 2019. Ewing denies the allegations, and no arbitrator has ruled.
FINRA found that Eric Kleiner (CRD 4135180) refused to provide documents and information it requested during an investigation. Without admitting or denying the findings, Kleiner consented to the sanction and to the entry of findings.
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