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Category: Ameriprise Financial Services

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Former Ameriprise Financial Services Broker, Bryant Caveness, Barred By FINRA

Bryant Caveness (CRD # 4033740) was a Financial Advisor at Ameriprise Financial Services in Kingsport, TN. Bryant Caveness has been in the securities industry since 1999 and previously worked at Ameriprise Advisor Services and Morgan Stanley. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on July 22, 2020, FINRA sanctioned […]

Ameriprise Financial Advisor, Jeffrey McHale, Has Three Customer Complaints, Alleging Sales Practice Misconduct

Jeffrey McHale (CRD # 2998580) is a Financial Advisor at Ameriprise Financial Services in Hingham, Massachusetts. Jeffrey McHale has been in the securities industry since 1998 and previously worked at Coburn & Meredith and Merrill Lynch. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Jeffrey McHale has been the subject […]

Ameriprise Financial Services Broker, Joseph Peggs, Has Eight Disclosed Customer Complaints Alleging Various Sales Practice Violations

Joseph Peggs (CRD # 121971) is a Financial Advisor at Ameriprise Financial Services, Inc. in Seminole, FL.  Joseph Peggs has been in the securities industry since 1984 and previously worked at Planmember Securities Corporation, AXA Advisors, LLC, Woodbury Financial Services, Inc. Jefferson Pilot Securities Corporation, NFP Securities, Inc. and FFP Securities, Inc. According to publicly […]

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 […]

Ameriprise Financial Advisor, Bruce Smith, Has Pending Complaint Regarding The Sale Of Non-Traded Real Estate Investment Trusts

The Wolper Law Firm is currently investigating claims against Bruce Smith, a Financial Advisor at Ameriprise Financial Services in Bartlesville, Oklahoma.  Bruce Smith has been in the securities industry since 1992 and previously worked for IDS Life Insurance Co. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on December 4 […]

Financial Advisor, Stan Leavitt, Has Two Customer Complaints Since 2017, Including One Pending Complaint

The Wolper Law Firm is currently investigating claims against Stan Leavitt, a former Financial Adviser at Merrill Lynch and current Financial Advisor at Ameriprise Financial in Roseville, California.  Stan Leavitt has been in the securities industry since the 1990s and previously worked for Cadaret Grant & Co. According to publicly available records released by the […]

Ameriprise Financial Advisor, Michael Lipscomb, Has Six Customer Complaints For Alleged Sales Practice Violations

The Wolper Law Firm is currently investigating claims against Michael Lipscomb, a Financial Advisor at Ameriprise in Orlando, FL.  Michael Lipscomb has been in the securities industry since 1992 and previously worked at Wunderlich Securities in Memphis. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Michael Lipscomb has been the […]

Financial Advisor, Robert Humberston, Sanctioned By FINRA

The Wolper Law Firm is currently investigating claims against Robert Humberston, a former Financial Advisor at Ameriprise Financial Services in Suffield, Connecticut.  Robert Humberston has been in the securities industry since 2012 and previously worked for Morgan Stanley. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on July 27, 2018, […]

Tampa Based Ameriprise Financial Advisor, Michael Pepe, Has $750,000 Pending Customer Complaint

The Wolper Law Firm is currently investigating claims against Michael Pepe, a Financial Advisor at Ameriprise in Tampa, Florida.  Michael Pepe has been in the securities industry since the 1980s and previously worked for Gunallen Financial and UBS Financial Services. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on May […]