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, […]

The Fort Lauderdale, Florida based Soreide Law Group, phone (888) 760-6552, has obtained the following summation of information from FINRA’s website, under “Disciplinary and Other FINRA Actions, May, 2014.” Matthew John Ortman (CRD #2734101, Jacksonville, Florida) was barred by FINRA. There was a FINRA investigation concerning the alleged falsification of records by Matthew Ortman and […]

Highest Paying Broker/Dealers Ranked by average payout per rep, per year 1.Ameriprise Financial Services Inc. 2.Commonwealth Financial Network 3.VSR Financial Services Inc. 4.Geneos Wealth Management Inc. 5.Wells Fargo Advisors Financial Network Largest Broker/Dealers Ranked by revenue 1.LPL Financial LLC 2.Ameriprise Financial Services Inc. 3.Raymond James Financial Services Inc. 4.Lincoln Financial Network 5.Commonwealth Financial Network Broker/Dealer […]

Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” Annie Orion Kim (CRD #4821323, Registered Representative, Chicago, Illinois) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Kim failed to […]