Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 6, 2017 indicate that New Hampshire-based Ameriprise Financial Services broker/adviser Scott Trendell has received a regulatory sanction and a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Trendell (CRD# 5288836).
Scott Trendell has spent 10 years in the securities industry and has been registered with Ameriprise Financial Services in Keene, New Hampshire since July 2016. He was previously registered with Edward Jones in Keene, New Hampshire. He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination); Series 7 (General Securities Representative Examination); and Series 24 (General Securities Principal Examination). He is a registered broker and investment adviser with 26 US states and territories.
According to his BrokerCheck report, he has received one customer complaint and one regulatory sanction.
In August 2017 the New Hampshire Bureau of Securities Regulation sanctioned him following allegations he “failed to ensure the equities sold to the Investor were suitable based on the Investor’s age, risk tolerance, investment objective, and financial situation.” He was issued fines and other monetary penalties totaling $10,000.
In 2015 a customer alleged Scott Trendell, while employed at Edward Jones recommended an unsuitable investment in Arena Pharmaceuticals stock. The complaint settled in January 2017 for more than $35,800.
If you or someone you know has complaints regarding Scott Trendell, call the experienced attorneys at Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on contingency: we only receive payment if and when you collect money. Time to file your claim may be limited by law, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.