Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 12, 2017 indicate that Michigan-based Ameriprise Financial Services broker/adviser Dominic Sacca has received customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Sacca (CRD# 2241670).
Dominic Sacca has spent 24 years in the securities industry and has been registered with Ameriprise Financial Services in Northville and Novi, Michigan since 1992. He was previously registered with IDS Life Insurance Company in Minneapolis, Minnesota. He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination) and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with 14 US states and territories: California, the District of Columbia, Florida, Illinois, Maine, Michigan, Missouri, Nevada, New Hampshire, New Jersey, New York, Ohio, South Carolina and Virginia.
According to his BrokerCheck report, he has received three customer complaints.
In 2011 a customer alleged Dominic Sacca, while employed at Ameriprise Financial Services, violated the Michigan Uniform Securities Act by advising a stock transfer that incurred un-anticipated tax penalties. The complaint resulted in an award to the customer of more than $126,100.
In 2003 a customer alleged Dominic Sacca, while employed at American Express Financial Advisors, recommended unsuitable investments and failed to disclose the risk of investing in high-risk securities. The complaint, from which Mr. Sacca was dismissed, settled in 2004 for $75,000.
In 2001 a customer alleged Dominic Sacca, while employed at American Express Financial Advisors, recommended unsuitable investments in limited partnership interests, annuities, and technology funds. The complaint resulted in an award to the customer of $100,000.
If you or someone you know has a complaint regarding Dominic Sacca, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup lost funds. Fitapelli Kurta accepts every case on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited by law, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.