Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 6, 2018 indicate that Minnesota-based Ameriprise Financial Services broker/adviser Steven Wall has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Wall (CRD# 2750754).
Steven Wall has spent 18 years in the securities industry and has been registered with Ameriprise Financial Services in New Brighton, Minnesota since 1999. He was previously registered with IDS Life Insurance Company in Minneapolis, Minnesota (1999-2006). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 5, 1999, and Series 7 (General Securities Representative Examination), which he obtained on April 1, 1999. He is a registered broker and investment adviser with 14 US states and territories: Arizona, Colorado, Florida, Illinois, Massachusetts, Minnesota, Nevada, North Carolina, Ohio, Oklahoma, Texas, Virginia, Wisconsin, and Wyoming.
According to his BrokerCheck report, he has received one pending customer complaint and one denied customer complaint.
In November 2017 a customer alleged Steven Wall, while employed at Ameriprise Financial Services, changed stop loss orders without authorization and made unsuitable recommendations involving an exchange-traded fund purchase and stop loss orders. The customer is seeking $48,515 in damages in the pending complaint.
In 2015 a customer alleged Steven Wall, while employed at Ameriprise Financial Services, executed unauthorized sell stop orders in connection to exchange-traded fund investments. The customer sought more than $58,800 in damages in the complaint, which was denied.
If you or someone you know has complaints regarding Steven Wall, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on a contingency basis: 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.