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Louis Poulin Has Auction Rate Security Complaints

Louis PoulinPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 16, 2016 indicate that Connecticut-based Ameriprise Financial Services broker/adviser Louis Poulin has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Poulin (CRD# 1017359).

Louis Poulin has spent 33 years in the securities industry and has been registered with Ameriprise Financial Services in Stratford, Connecticut since 2012. Previous registrations include Mid-Atlantic Capital Corporation in Pittsburgh, Pennsylvania; G-2 Trading in New York, New York; UBS Financial Services in New York, New York; the Pinnacle Group; and EF Hutton & Company. He is a registered broker and investment adviser with three US states: Connecticut, New York, and Texas.

According to his BrokerCheck report, Louis Poulin has received four customer complaints.

In 2010, a customer alleged Louis Poulin, while employed at UBS Financial Services, engaged in unspecified misconduct related to the sale of an auction rate security. The complaint settled for $25,550,000.

In 2010, a customer alleged Louis Poulin, while employed at UBS Financial Services, engaged in unspecified misconduct related to the sale of an auction rate security. The complaint settled for $2,550,000.

In 2010, a customer alleged Louis Poulin, while employed at UBS Financial Services, engaged in unspecified misconduct related to the sale of an auction rate security. The complaint settled for $1,225,000.

In 2010, a customer alleged Louis Poulin, while employed at UBS Financial Services, engaged in unspecified misconduct related to the sale of an auction rate security. The complaint settled for more than $25,000.

If you have suffered losses while investing with Louis Poulin, you may be entitled to a recovery. Call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on contingency: we only get paid if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.