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 […]

Losses From Richard Ewing? FINRA BrokerCheck reports troubling allegations of sales practice violations from Ameriprise Financial Services securities representative Richard Ewing (Dickie Ewing) (CRD#: 3189321, Palm Beach Gardens, Florida). Notably, the securities broker, who joined Ameriprise Advisor Services Inc. in 2005 and transitioned to Ameriprise Financial Services in 2009, reports 4 client disputes and 2regulatory […]

MARK SACHSE Barred By FINRA The Financial Industry Regulatory Authority (“FINRA”) barred Ameriprise Financial Services Inc. broker Mark Sachse (CRD#: 5155260, Overland Park, Kansas) for not complying with a FINRA probe. Notably, the FINRA BrokerCheck Report for Sachse shows that FINRA made a “request for information” which Sachse failed to answer. Supposedly, FINRA inquired into […]

Soreide Law Investigating Ameriprise For Unsuitability And Misrepresentation Soreide Law Group is investigating claims of unsuitability and misrepresentation on behalf of customers who invested with Ameriprise Financial Services brokers and financial advisors including John Anthony Gruber, Johnny Gin Yang Ng and Douglas Dinzik. Ameriprise Financial Services, Inc. (CRD#: 6363, Minneapolis, Minnesota) is an investment adviser […]

Ameriprise, Joseph Lawrence Peggs Face Customer Disputes Joseph Lawrence Peggs (CRD#: 1219721, Seminole, Florida) has been an Ameriprise Financial Services financial advisor since November 6, 2015. Peggs’ Financial Industry Regulatory Authority (“FINRA”) BrokerCheck profile shows that at least six investors of Ameriprise Financial Services and NFP Securities, Inc. have disputes Peggs’ sales practices. Those customers […]

Customers Sue Ameriprise Over Unsuitable Investments Brian A. Eisenman (CRD#: 2143778, Florham Park, New Jersey) was a registered representative of Ameriprise Financial Services, Inc. between October 5, 2009 and May 22, 2018. Eisenman reported on the Financial Industry Regulatory Authority (“FINRA”) BrokerCheck that on January 6, 2017, a customer filed a complaint in regard to […]

Soreide Law Group has filed a FINRA arbitration, on behalf of our client (Claimant), against: AMERIPRISE FINANCIAL SERVICES, INC. (Respondent) The Claimants, a widow in her eighties living in New Jersey and her now deceased husband, were extremely conservative investors who invested primarily in tax free municipal bonds.  While at AMERIPRISE, they were with broker, […]