Investors might have sustained losses due to securities broker Roy Chuck Waugh [CRD: 2130562, Lawton, Oklahoma], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Roy Waugh joined Ameriprise Financial Services LLC on May 6, 1991. Here’s more about the securities broker’s disclosures. Ameriprise Financial Services Client Accused Waugh Of Beneficiary Change Issue […]

FINRA sanctioned securities broker Cynthia S. Beyerlein (also known as Cindy Beyerlein) [CRD: 4320421, San Diego, California], considering the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Beyerlein worked for Ameriprise Financial Services LLC from April 25, 2014, until February 9, 2023, and briefly at Kingswood Capital Partners LLC from March 28, 2023, to […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Scott Jay Matalon [CRD: 4637378, New York, New York], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Matalon worked for Ameriprise Financial Services LLC from May 31, 2013, to August 16, 2019. He then worked […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Matthew Thomas Mierzycki [CRD: 6102769, Round Rock, Texas], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Mierzycki worked for Edward Jones from September 14, 2012, to November 11, 2021, and joined Ameriprise Financial Services LLC […]

Investors may have faced losses due to Clifton Brent Smith [CRD: 2658251, Atlanta, Georgia], based on disclosures found on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Smith, a financial advisor and securities broker regulated by FINRA, joined Raymond James Associates Inc. in Atlanta, Georgia, on November 7, 2023. Prior to this, his career included stints […]

Soreide Law Group is conducting an investigation into potential claims on behalf of investors who may have incurred losses due to the actions of securities broker and financial advisor, Peter Dieter Nett (also known as P.D. Nett) [CRD: 4506990, The Woodlands, Texas]. Evidently, he has worked with Hilltop Securities Inc. since September 23, 2022. He […]

Soreide Law Group is currently investigating potential claims on behalf of investors who have suffered losses due to the actions of securities broker Kevin Douglas Houser [CRD#: 2513167, Center Valley, Pennsylvania]. Evidently, Houser joined Ameriprise Financial Services LLC on September 16, 2016, as both a financial advisor and securities broker. His prior affiliations include LPL […]

Soreide Law Group is conducting an investigation into the actions of Scott J. Roslonowski (CRD: 4795893, Indian Harbour Beach, Florida), specifically focusing on potential claims on behalf of investors who may have suffered losses. Roslonowski works for Ameriprise Financial Services, LLC as of October 5, 2009, and operates out of the firm's Indian Harbour Beach, […]

Soreide Law Group is actively investigating potential claims on behalf of investors who may have sustained losses because of Mark Ryan Bierdeman (CRD#: 2809412, Fargo, North Dakota). Bierdeman has been affiliated with Ameriprise Financial Services, LLC in Fargo, North Dakota since January 1, 1997, as a securities broker and since April 12, 2000, as a […]