Ameriprise Financial Clients Allege Sales Practice Violations By Richard Martin Soreide Law Group is investigating potential disputes to bring on behalf of investors against securities broker Richard Paul Martin (CRD#: 1536729, Goshen, New York). Evidently, Martin joined Ameriprise Financial Services in September 1986 as a securities broker. He became a financial advisor in January 2007. […]

Ameriprise Financial Services' Barry Abrams Facing Investor Disputes Alleging Unsuitability, Breach Of Fiduciary Duty Soreide Law Group brings you up to speed regarding securities broker Barry David Abrams (CRD#: 488, Marlton, New Jersey). Specifically, FINRA BrokerCheck shows that five investors brought disputes about Abrams, and a couple of those disputes concern Abrams’ actions at Ameriprise […]

Securities Broker Daniel Lauletta Involved In Disputes Alleging Negligence, Misrepresentation Financial Industry Regulatory Authority (FINRA) BrokerCheck shows that five investors filed disputes concerning securities broker Daniel James Lauletta (CRD#: 2659123, Cleveland, Ohio). Evidently, Lauletta worked for Cetera Advisor Networks from 2013 to 2016. Also, he worked as a financial advisor and a securities broker for […]

Broker David Turetzky Is Involved In Morgan Stanley, Ameriprise Investor Disputes The Financial Industry Regulatory Authority (FINRA) reports that 5 investors filed disputes about securities broker David Charles Turetzky (CRD#: 2954337, Saddle Brook, New Jersey). Namely, these disputes contain allegations of sales practice violations that caused damages to investors. Here’s more. Ameriprise Financial Services Client […]

Ameriprise Broker Anthony Leopizzi Involved In Disputes Alleging Unauthorized, Unsuitable Transactions Soreide Law Group has come across concerning information in regard to securities broker Anthony John Leopizzi (CRD#: 1697946, Minneapolis, Minnesota). Specifically, the Financial Industry Regulatory Authority (“FINRA”) reports that seven investors brought disputes regarding Leopizzi’s sales practices. Here’s more on what these clients have […]

Broker Tom Sharp Allegedly Sells Bad REITs Investor Alert! Soreide Law Group provides you this update with respect to securities broker Thomas “Tom” David Sharp (CRD#: 1623353, Gold River, California). Apparently, some of Sharp’s investors filed complaints or lawsuits about him indicating that he caused their losses. FINRA BrokerCheck shows that these complaints suggest that […]

Broker Eric Roark Supposedly Fails To Follow Instructions The Financial Industry Regulatory Authority (“FINRA”) reports alarming allegations with respect to Eric Travis Roark (CRD#: 4177967, New York, New York). Not only has Ameriprise Financial Services disaffiliated with the securities broker, but two of Roark’s clients also complained about him. These disputes raise questions as to […]

Ameriprise's Bill Utanksi Allegedly Makes Unsuitable Dendreon Corp. Stock Sales Soreide Law Group is looking into potential investor disputes against securities broker William (Bill) David Utanski [CRD#: 2576809, Fort Lauderdale, Florida]. Apparently, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that at least 5 clients took issue with the securities broker, who worked for Ameriprise Financial […]

Broker James Knee Allegedly Misappropriated Funds Investor Alert! FINRA BrokerCheck discloses troubling information in regard to securities broker James “Jim” Edward Knee [CRD#: 1852920, Concord, New Hampshire]. Supposedly, at least 8 clients took issue with the securities broker, who worked for Ameriprise Financial Services between 2012 and 2015 and who also worked for Voya Financial […]