Published on:

Deane Rudofker Terminated from Ameriprise and Wells Fargo

Deane RudofkerPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 12, 2016 indicate that former Pennsylvania-based Ameriprise broker Deane Rudofker is currently not registered with any state or firm. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Rudofker (CRD# 1241403).

Deane Rudofker has spent 32 years in the securities industry and was most recently registered with Ameriprise Financial Services in Philadelphia, Pennsylvania (2015). Previous registrations include Wells Fargo Advisors in Philadelphia, Pennsylvania (2003-2015); Prudential Securities in New York, New York (1991-2003); Tucker Anthony in Boston, Massachusetts (1991); Gruntal & Company in New York, New York (1985-1991); Herzfeld & Stern (1985); and Merrill Lynch (1984-1985). She is currently not registered with any state or firm.

According to her BrokerCheck report, Deane Rudofker has been discharged from her position at Ameriprise Financial.

In April 2016, Deane Rudofker was terminated from Ameriprise Financial Advisors following allegations of “violations of company policy related to the firm’s solicitation policy, mismarking trade tickets as unsolicited and use of personal email with a clients unsolicited and use of personal email with a client.”

In August 2015, Deane Rudofker was terminated from Wells Fargo Advisors following allegations that she gave “inaccurate information to another team member, incorrectly stating that she had spoken with a client, when such conversations had not taken place. The inaccurate information was then entered into the Firm’s systems by the other team member.”

In 2010, a customer alleged that Deane Rudofker, while employed at Wells Fargo Advisors, failed to follow instructions. The customer sought $35,000 in damages in the complaint, which was denied.

In 2003, a customer alleged that Deane Rudofker, while employed at Prudential Securities, failed to executed stop loss orders. The customer sought damages exceeding $76,500 in the complaint, which was denied.

If you have lost money investing with Deane Rudofker, you may be entitled to recover your losses. Call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on contingency, which means we only get paid if and when you collect money. You may have a limited window to file your claim, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.