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Articles Tagged with Ameriprise Financial

Ameriprise Financial terminated Philip H. Sheridan (CRD#: 2694126) on July 10, 2019 for “compliance policy violations related to exercising discretion in non-discretionary accounts, providing unapproved research/sales literature to clients and conducting business from an unregistered location,” according to his BrokerCheck record accessed on August 23, 2019. While Philip H. Sheridan formerly worked for Ameriprise Financial […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on March 27, 2017 indicate that former Florida-based Ameriprise Financial Services broker/adviser Shane Ireland was recently terminated from a former employer and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Ireland […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on February 13, 2017 indicate that Florida-based Ameriprise Financial Services broker/adviser Edward Wacks has been named in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Wacks (CRD# 1300849). Edward Wacks has spent twenty years in […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) on January 11, 2017 indicate that former Kansas-based Ameriprise Financial Services broker John Elliot has been suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Elliot (CRD# 5981598). John Elliot has spent four years in […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on December 15, 2016 indicate that Nevada-based Ameriprise Financial Services broker/adviser Keith Flynn has been the subject of customer disputes. The attorneys at Fitapelli Kurta are interested in hearing from investors who have complaints regarding Mr. Flynn (CRD# 4284136). Keith Flynn has spent sixteen […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) on November 21, 2016 indicate that former Maine-based Ameriprise Financial Services broker David Shulenberg is currently not affiliated with any broker-dealer firm. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Shulenberg (CRD# 1999680). […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on November 18, 2016 indicate that Missouri-based Sagepoint Financial broker/adviser Renee Fields recently resigned from her former employer, Ameriprise Financial Services, after allegations of misconduct. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on September 29, 2016 indicate that New Jersey-based Ameriprise Financial Services broker/adviser Scott Nuttall has been the subject of customer complaints and a regulatory sanction. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on September 29, 2016 indicate that Ohio-based Ameriprise Financial Services broker/adviser Dennis Oltorik has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Oltorik (CRD# 2303275). Dennis […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 29, 2016 indicate that former New Jersey-based Ameriprise Financial Services broker Geri Delfino is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who […]

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