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.
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 firstname.lastname@example.org 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.
- Investment Loss Recovery Options For Investors In The 1INMM Capital, LLC Ponzi Scheme Perpetrated By Actor Zachary Horwitz a/k/a Zachary Avery
- J.W. Cole Financial, Inc. Sanctioned by FINRA for Sales Practices Relating To Sales And Supervision Of LJM Preservation & Growth Fund
- Cambridge Investment Research, Inc., Sanctioned by FINRA for Sales Practices Relating To Sales And Supervision Of LJM Preservation & Growth Fund
- Former Torch Securities Broker Jeremy Johnson Barred By FINRA After Allegedly Making Misrepresentations To Customers
- Former Lincoln Douglas Investments Broker Herbert G. Frey Sanctioned By FINRA For Alleged Unauthorized Trading
- Two Customer Complaints Pending Against Ausdal Financial Partners, Inc. Investment Advisor and Broker Kurt Baldry
- Concorde Investment Services Broker, Mark Huber, Has Two Customer Complaints, Alleging Sales Practice Misconduct
- Unsuitability Allegations Pending Against Previously Registered Voya Financial Advisors, Inc. Financial Advisor and Broker David R. Wall
- Common Types of Alternative Investments
- Did You Purchase GPB Capital Holdings Private Placements Through McNally Financial Services Or Daniel Poland