Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on October 3, 2016 indicate that former Florida-based Ameriprise Financial Services broker William Barker, also known as Greg Barker, 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. Barker (CRD# 2903765).
William Barker has spent fifteen years in the securities industry and was most recently registered with Ameriprise Financial Services in Tallahassee, Florida (2014-2016). Previous registrations include Raymond James & Associates in Tallahassee, Florida; Citigroup Global Markets in Tallahassee, Florida; Southern Farm Bureau Fund Distributor in Jackson, Mississippi; and AG Edward & Sons in St. Louis, Missouri. He is currently not registered with any state or firm.
According to his BrokerCheck report, William Barker has received five customer complaints and was discharged from Ameriprise Financial Services.
In February 2016 William Barker was terminated from his position at Ameriprise Financial Services following allegations of “company policy violations related to suitability, client fee reimbursement and complying with disciplinary action.”
In 2014 a customer alleged William Barker, while employed at Raymond James & Associates, executed excessive trades. The complaint settled for more than $35,300.
In 2003 a customer alleged, while employed at AG Edwards & Sons, he executed unauthorized trades. The complaint settled in 2004 for $20,000.
In 2001 a customer alleged William Barker, while employed at AG Edwards & Sons, provided improper advice which resulted in losses. The complaint settled for $18,500.
In 2001 a customer alleged, while employed at AG Edwards & Sons, he misrepresented material facts related to a CD purchase. The complaint settled for more than $8,600.
In 2000 a customer alleged William Barker, while employed at AG Edwards & Sons, recommended investments whose risks they did not understand. The complaint settled for more than $420,500.
If you have lost money investing with William Barker, 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.