Investors File Disputes About Stephen Tadlock

Soreide Law Group is investigating possible investor claims against securities broker Stephen Christopher Tadlock (also known as Chris Tadlock) [CRD: 5746664, Houston, Texas]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Ameriprise Financial Services LLC. For example, clients alleged unsuitable recommendations. Here is a brief summary of the disclosures about Tadlock.

Ameriprise Financial Services LLC Investor Accused Stephen Tadlock Of Unsuitable Recommendations

Evidently, an Ameriprise Financial Services LLC client filed FINRA Arbitration: 19-00865 about Stephen Tadlock. Namely, the client alleged that Tadlock made unsuitable recommendations. Because of this, the client allegedly sustained damages on fixed and variable annuities. Therefore, on June 1, 2020, Ameriprise Financial Services LLC settled this matter by paying the client $65,000 in damages.

Ameriprise Financial Services LLC Disaffiliates With Securities Broker For Noncompliance

Specifically, on July 30, 2017, Ameriprise Financial Services LLC terminated the registration of Tadlock. Namely, Ameriprise Financial Services LLC alleged that Tadlock failed to comply with the securities broker dealer’s policies.

Tadlock Employment Information

• Tadlock worked for Ameriprise Financial Services LLC in Houston, TX, as a securities broker (2013 to 2017)
• Tadlock worked for MML Investors Services LLC in Houston, TX, as a securities broker (2018)
• Tadlock worked for Park Avenue Securities LLC in Houston, TX, as a securities broker (2018 to 2019)

Damages Resulting From Ameriprise Financial Services LLC Securities Broker Stephen Tadlock?

Have you suffered damages by investing with Stephen Tadlock? If so, reach out to Soreide Law Group at (888) 760-6552 and speak with a securities attorney concerning the potential recovery of your investment losses or other damages. Soreide Law Group, who has effectively recovered money for many investors throughout the United States, represents clients on a contingency fee basis and advances all costs. Tadlock and brokerage firms Tadlock worked for deny any and all allegations of sales practice violations.