Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 27, 2016 indicate that Oregon-based Ameriprise Financial Services broker/adviser Daniel Ruediger is the subject of a denied customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Ruediger (CRD# 2740109).
Daniel Ruediger has spent 19 years in the securities industry and has been registered with Ameriprise Financial Services in Portland, Oregon since 1996. He was previously registered with IDS Life Insurance Company in Minneapolis, Minnesota (1996-2006). He is a registered broker with 32 US states and territories.
According to his BrokerCheck report, Daniel Ruediger is the subject of one denied customer complaint.
In January 2016, a customer alleged that Daniel Ruediger, while employed at Ameriprise Financial Services, established a retirement plan that was not in compliance with the Affiliated Service Group rules or the Internal Revenue Code 414. The customer sought $70,000 in damages in the complaint, which was denied.
Daniel Ruediger’s member firm, Ameriprise Financial Services, is the subject of 61 regulatory events and 98 customer complaints that evolved into arbitration, according to the firm’s BrokerCheck report.
In 2014, a customer alleged that Ameriprise Financial Services breached its fiduciary duty, misrepresented and omitted material facts, breached contract, and recommended unsuitable investments. The complaint settled for more than $127,700.
In 2014, a customer alleged that Ameriprise Financial Services breached its fiduciary duty, misrepresented and omitted material facts, and failed to supervise representatives. In January 2016, the complaint resulted in an award to the customer of $2,036,890.
In 2013, FINRA sanctioned Ameriprise Financial Services after allegations that it failed to deliver certain mutual fund prospectuses on time. The firm was fined $525,000.
In 2013, FINRA sanctioned Ameriprise Financial Services following allegations that it failed to adequately protect customer records and information. The firm was fined $750,000.
If you or someone you know has lost money investing with Daniel Ruediger or Ameriprise Financial Services, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis—we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.