John Tao: Investor Seeks $100,000 in ETF Complaint Against Ameriprise Rep

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 6, 2018 indicate that Florida-based Ameriprise Financial Services broker/adviser John Tao has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Tao (CRD# 2505955). John Tao has spent 17 years in…

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SEC Fines Ameriprise $4.5 Million Over Supervisory Failures, Theft

The Securities and Exchange Commission (SEC) has issued a civil penalty of $4.5 million against Ameriprise Financial Services as part of a settlement order concerning the company’s alleged failure to prevent the theft of more than $1 million in customer funds by several of its brokers. According to the SEC’s order, the matter concerns activities…

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Alan Holt: Investors Allege Unsuitability, Churning, Unauthorized Trades by Ameriprise Rep

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 15, 2018 indicate that California-based Ameriprise Financial Services broker/adviser Alan Holt has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Holt (CRD# 1497129). Alan Holt has spent 32 years…

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New Customer Complaint Filed Against Ameriprise’s Michael Pepe: Investor Seeks $750,000

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 24, 2018 indicate that Florida-based Ameriprise Financial Services broker/adviser Michael Pepe has received a new pending customer complaint. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Pepe (CRD# 1172861). Michael Pepe has spent 3 years in…

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Brian Hussey: One Customer Complaint and One FINRA Sanction

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 13, 2018 indicate that former Florida-based Ameriprise Financial Services broker/adviser Brian Hussey has been sanctioned by FINRA in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who…

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James Kujawski Terminated From UBS, Named in Investigation

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 5, 2018 indicate that former Maryland-based Ameriprise Financial Services broker/adviser James Kujawski, who has received resolved or pending customer disputes, was recently named in a FINRA investigation into alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have…

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Tom Parks Received Complaints Concerning Oil and Gas Investments

Public records published by the Financial Industry Regulatory Authority (FINRA) on May 7, 2018 indicate that former Texas-based Ameriprise Financial Services broker/adviser Tom Parks has been involved in resolved or pending customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr.…

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Mark Sachse Was Discharged In Connection To Allegations of Company Policy Violations

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 20, 2018 indicate that former Kansas-based Ameriprise Financial Services broker/adviser Mark Sachse, who has received a pending customer dispute, was discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm.…

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James Pettit Has Been Barred From Acting as a Broker

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 16, 2018 indicate that former Connecticut-based Ameriprise Financial Services broker/adviser James Pettit has been sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested…

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Timothy Hunter Has Received a Pending Customer Complaint

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 11, 2018 indicate that Louisiana-based Ameriprise Financial Services broker/adviser Timothy Hunter has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Hunter (CRD# 2317611). Timothy Hunter has spent 25 years in…

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