Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 30, 2018 indicate that Colorado-based Ameriprise Financial Services broker/adviser Mark Barrand has received a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Barrand (CRD# 4586528).
Mark Barrand has spent 15 years in the securities industry and has been registered with Ameriprise Financial Services in Lone Tree, Colorado since 2016. Previous registrations include Cetera Advisors in Highlands Ranch, Colorado (2004-2016) and Legacy Financial Services in Petaluma, California (2002-2004). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 16, 2003; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 13, 2002; Series 7 (General Securities Representative Examination), which he obtained on October 19, 2010; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on September 18, 2002. He is a registered broker and investment adviser with nine US states and territories: Arizona, Colorado, Hawaii, Idaho, Maryland, New Mexico, New York, Utah, and Virginia.
According to his BrokerCheck report, he has received one customer complaint, one denied customer complaint, and one customer complaint that was closed with no action taken.
In January 2018 a customer alleged Mark Barrand, while employed at Ameriprise Financial Services, misrepresented material facts related to provisions of their variable annuities and unit investment trusts. The customer sought $138,500 in damages in the complaint, which was denied.
In 2009 a customer alleged Mark Barrand, while employed at Legacy Financial Services, misrepresented material facts, breached his fiduciary duty, acted negligently, and violated industry regulations. The complaint settled in 2010 for $20,000.
In 2008 a customer alleged Mark Barrand, while employed at Multi-Financial, misrepresented material facts and failed to follow instructions. The customer sought $20,277 in damages in the complaint, which was closed with no action taken.
If you or someone you know has lost money investing with Mark Barrand, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.