Mark Wesley: Sanctioned and Barred by FINRA Following allegations of Misconduct

Mark WesleyPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 21, 2017 indicate that former Ohio-based Ameriprise Financial Services broker/adviser Mark Wesley has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in hearing from investors who have complains regarding Mr. Wesley (CRD# 2511569).

Mark Wesley has spent 21 years in the securities industry and was most recently registered with Ameriprise Financial Services in Independence, Ohio (1994-2016). He was previously registered with IDS Life Insurance in Minneapolis, Minnesota and is currently not registered with any state or firm.

According to his BrokerCheck report, he has been sanctioned by FINRA and has received several customer disputes.

In December 2016 he was sanctioned by FINRA following allegations he failed to respond to a FINRA request for information. He was barred from acting as a broker or otherwise associating with firms that sell securities to the public.

In June 2016 he was “permitted to resign” from his position at Ameriprise Financial Services following allegations he executed unauthorized trades and used discretion in a non-discretionary account.

In 2007 a customer alleged Mark Wesley, while employed at Ameriprise Financial Services, recommended unsuitable products and improperly managed the customer. The complaint settled for $45,000.

In 2003 a customer alleged Mark Wesley, while employed at Ameriprise Financial Services, made unsuitable recommendations involving risky securities. The complaint settled for $55,000.

If you have complaints regarding Mark Wesley, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. All cases are taken on contingency: we only receive payment if and when you recover money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.