Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on October 1, 2016 indicate that California-based Ameriprise Financial Services broker/adviser Cary Kievman has received resolved or pending customer disputes. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Kievman (CRD# 2804357).
Cary Kievman has spent seventeen years in the securities industry and has been registered with Ameriprise Financial Services in Westlake Village, California since 2012. Previous registrations include Morgan Stanley Smith Barney in Woodland Hills, California (2011-2012); Citigroup Global Markets in Woodland Hills, California (2005-2011); and UBS Financial Services in Weehawken, New Jersey (1999-2005). He is a registered broker and investment adviser with ten US states and territories: Arizona, California, Florida, Hawaii, Idaho, Nevada, New Jersey, Oregon, Pennsylvania, and Washington.
According to his BrokerCheck report, Cary Kievman has received one customer complaint and two pending customer complaints.
In August 2016 a customer alleged he, while employed at Ameriprise Financial Services, over-concentrated the account in equities and recommended unsuitable investments. The customer is seeking unspecified damages in the pending complaint.
In March 2016 a customer alleged he, while employed at Ameriprise Financial Services, made unsuitable recommendations, over-concentrated the account, and “did not code her risk tolerance correctly or fully disclose the risks of the investments.” The customer is seeking $143,394 in damages in the pending complaint.
In February 2016 a customer alleged he, while employed at Ameriprise Financial Services, “purchased high risk investments despite his moderate risk tolerance,” resulting in “abysmal performance.” The customer sought more than $294,000 in damages in the complaint, which was denied.
In January 2016 a customer alleged he, while employed at Ameriprise Financial Services, effected unsuitable purchases in her IRA, executed unauthorized trades, and misrepresented material facts. The customer sought $81,837 in damages in the complaint, which was denied.
In July 2015 a customer alleged he, while employed at Ameriprise Financial Services, misrepresented and omitted material facts in connection to an investment. The complaint settled in August 2015 for $15,000.
If you have lost money investing with Cary Kievman, you may be eligible to recover your losses. Call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on contingency: we only receive payment if and when you recover money. You might have a limited time to file your claim, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.