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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, Robert Humberston was sanctioned by FINRA for accepting a monetary bequest from a client in his will.  In violation of applicable rules and regulations, Robert Humberston failed to notify Ameriprise of the gift or refuse to accept the gift; thus violating policy.

https://www.finra.org/sites/default/files/fda_documents/2018057966901%20Robert%20Rushby%20Humbertson%20CRD%202704865%20AWC%20va.pdf

In addition, in March 2018, Robert Humberston was permitted to resign from Ameriprise after it launched an investigation into the propriety of the beneficiary relationship he had with the aforementioned client.

If you or someone you know was a customer of Robert Humberston, and you experienced investment losses, please contact the Wolper Law Firm at 800.931.8452 or by email at mwolper@wolperlawfirm.com to discuss your specific situation and the legal options available.  The Wolper Law Firm represents investors nationwide in securities litigation and arbitration.

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.  Simply put, he knows how the other side evaluates cases, which gives you a competitive advantage.

Attorney Matthew Wolper

Attorney Matthew WolperMatt Wolper is a trial lawyer who focuses exclusively on securities litigation and arbitration. Mr. Wolper has handled hundreds of securities matters nationwide before the Financial Industry Regulatory Authority (FINRA), American Arbitration Association (“AAA”), JAMS, and in state and federal court. Mr. Wolper has handled and tried cases involving complex financial products and strategies ranging from traditional stocks and bonds to options, margin and other securities-based lending products, closed/open-end mutual funds, structured products, hedge funds, and penny stocks. [Attorney Bio]