Ameriprise Financial Advisor, Stan Leavitt, Had Two Customer Complaints In 2018
Stan Leavitt is a Financial Advisor at Ameriprise Financial in Roseville, CA. Stan Leavitt entered the securities industry in 1994 and previously worked for Merrill Lynch.
According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in October 2018, a customer filed a complaint against Stan Leavitt, alleging “misrepresentation and unsuitable investment recommendations from April 2015 until June 2017.” The alleged damages are $550,000 and the matter remains pending.
In July 2018, a second customer filed a complaint against Stan Leavitt, alleging “misrepresentation.” That dispute was settled for $17,509.
For a copy of Stan Leavitt’s CRD, click https://brokercheck.finra.org/individual/summary/2571093#disclosuresSection
Financial advisors have a legal and regulatory obligation to recommend only suitable investments that are appropriate for their clients’ needs and objectives. Their employing brokerage firm has a legal and regulatory obligation to supervise the Financial Advisors’ sales practices and dealings with clients. To the extent any of these duties are breached, the customer may be entitled to a recovery of his or her investment losses.
The Wolper Law Firm represents investors nationwide in securities litigation and arbitration on a contingency fee basis. Matt Wolper, the Managing Principal of the Wolper Law Firm, is a trial lawyer who has handled hundreds of securities cases during his career involving a wide range of products, strategies and securities. Prior to representing investors, he was a partner with a national law firm, where he represented some of the largest banks and brokerage firms in the world in securities matters. We can be reached at 800.931.8452 or by email at email@example.com.
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