Articles Tagged with Ameriprise

Myriad GeneticsPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 25, 2018, as well as a news report published on April 23, 2018 indicate that former California-based Ameriprise broker/adviser Li-Lin Hsu has been sanctioned by FINRA, barred from acting as a broker, and arrested in connection with an alleged embezzlement scheme. Fitapelli Kurta is investigating allegations of misconduct against Ms. Hsu (CRD# 4706509).

Li-Lin Hsu has spent nine years in the securities industry and was most recently registered with Ameriprise Financial Services in Los Angeles, California (2006-2015). She was previously registered with Ameriprise Financial Services in Minneapolis, Minnesota (2005). She has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which she obtained on May 1, 2006; Series 65 (Uniform Investment Adviser Law Examination), which she obtained on April 14, 2006; and Series 7 (General Securities Representative Examination), which she obtained on November 18, 2005. She is currently not registered with any state, firm, or self-regulatory organization (SRO).

According to her BrokerCheck report and news reports, she has received three FINRA sanctions and one customer complaint, and she was recently arrested in connection to alleged embezzlement of customer funds.

Michael LipscombPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 29, 2018 indicate that Florida-based Ameriprise broker/adviser Michael Lipscomb has received several resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Lipscomb (CRD# 2286249).

Michael Lipscomb has spent 25 years in the securities industry and has been registered with Ameriprise Financial Services in Orlando, Florida since 2014. Previous registrations include Wunderlich Securities in Memphis, Tennessee (2007-2014); Capital Securities of America in Hartville, Ohio (2004-2007); Wachovia Securities in St. Louis, Missouri (2001-2004); JWGenesis Financial Group in Boca Raton, Florida (1999-2001); and Chatfield Dean & Company in Greenwood Village, Colorado (1992-1999). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 22, 2015; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 18, 1992; and Series 7 (General Securities Representative Examination), which he obtained on October 21, 1992. He is a registered broker and investment adviser with ten US states: California, Colorado, Florida, Georgia, New York, North Carolina, South Carolina, Texas, Virginia, and Washington.

According to his BrokerCheck report, he has received two customer complaints and two pending customer complaints.

William MarshallPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 26, 2017 indicate that Texas-based Ameriprise broker/adviser William Marshall has been sanctioned by FINRA and received several pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Marshall (CRD# 3267723).

William Marshall has spent 18 years in the securities industry and has been registered with Ameriprise Financial Services in Dallas, Texas since 2011. Previous registrations include Southwest Securities in Dallas, Texas (2002-2011) and May Financial Corporation in Dallas, Texas (1999-2001). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); and Series 7 (General Securities Representative Examination). He is registered as a broker and investment adviser with eight US states: Connecticut, Florida, Louisiana, Missouri, New York, Pennsylvania, Texas, and Virginia.

According to his BrokerCheck report, he has received one FINRA sanction and four pending customer complaints.

Bill UtanskiPublic records published by the Financial Industry Regulatory Authority (FINRA) on July 12, 2017 indicate that Florida-based Ameriprise broker/adviser Bill Utanski has received several resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Utanski (CRD# 2576809).

Bill Utanski has spent 22 years in the securities industry and has been registered with Ameriprise Financial Services in Fort Lauderdale, Florida since 2009. Previous registrations include Ameriprise Advisor Services in St. Petersburg, Florida; Prudential Securities in New York, New York; UBS Painewebber in Weehawken, New York; and Salomon Smith Barney in New York, New York. He is a registered broker and investment adviser with 12 US states: California, Florida, Georgia, Massachusetts, Michigan, Minnesota, Nevada, New Jersey, New York, North Carolina, South Carolina, and Virginia.

According to his BrokerCheck report, he has received three customer complaints and one pending customer complaint.

 Jacob LynchPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on November 28, 2016 indicate that former Kentucky-based Ameriprise Financial Services broker Jacob Lynch is currently not affiliated with any broker-dealer firm. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Lynch (CRD# 5102920).

Jacob Lynch has spent ten years in the securities industry and was most recently registered with Ameriprise Financial Services in Louisville, Kentucky (2006-2016). He has no previous registrations. He has passed two securities industry examinations: Series 7 (General Securities Representative Examination) and Series 66 (Uniform Combined State Law Examination).

According to his BrokerCheck report, Jacob Lynch recently resigned from Ameriprise Financial Services following allegations of misconduct.

Jeffrey BrittPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on November 22, 2016 indicate that Pennsylvania-based Ameriprise Financial Services broker/adviser Jeffrey Britt has received resolved or pending customer disputes. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Britt (CRD# 30892).

Jeffrey Britt has spent 46 years in the securities industry and has been registered with Ameriprise Financial Services in Plymouth Meeting, Pennsylvania since October 2016. Previous registrations include Janney Montgomery Scott in Bryn Mawr, Pennsylvania; Shearson Lehman Brothers; Smith Barney Harris Upham & Company; Prudential-Bache Securities; Shields Model Roland; Shields & Company; Dupont Glore Forgan; and Hornblower & Weeks Hemphill Noyes. He is a registered broker and investment adviser with sixteen US states and territories: California, Colorado, Delaware, Florida, Georgia, Illinois, Indiana, Massachusetts, New Jersey, New Mexico, New York, Ohio, Pennsylvania, Texas, Virginia, and Wyoming.

According to his BrokerCheck report, Jeffrey Britt has received six customer complaints and one pending customer complaint.

Justin WeselohPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on October 14, 2016 indicate that former Ohio-based Ameriprise Financial Services broker Justin Weseloh has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Weseloh (CRD# 5321024).

Justin Weseloh has spent five years in the securities industry and was most recently registered with Ameriprise Financial Services in Independence, Ohio (2010-2013). He was previously registered with Signator Investors in Independence, Ohio (2008-2013). He is currently not registered with any state or firm.

According to his BrokerCheck report, Justin Weseloh bas been sanctioned by FINRA and resigned from his position at Ameriprise Financial Services.

Jonathan MirerPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 30, 2016 indicate that Nevada-based Ameriprise Financial Services broker/adviser Jonathan Mirer has been the subject of resolved or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Mirer (CRD# 336638).

Jonathan Mirer has spent 43 years in the securities industry and has been registered with Ameriprise Financial Services in Henderson, Nevada since July 2016. Previous registrations include Wells Fargo Advisors in Henderson, Nevada; Prudential Securities in New York, New York; Dean Witter Reynolds in Purchase, New York; CIBC Oppenheimer & Company in New York, New York; Raymond James & Associates in St. Petersburg, Florida; Connor Greenfield Securities; Rotan Mosle; and Dean Witter & Company. He is a registered broker and investment adviser with 21 US states and territories.

According to his BrokerCheck report, Jonathan Mirer has received two customer complaints and one pending customer complaint, and resigned from Raymond James & Associates.

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. Continue Reading

Shannan DenisonMichigan-based International Assets Advisory broker/adviser Shannan Denison is the subject of a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Denison (CRD# 44175730).

Shannan Denison has spent fourteen years in the securities industry and has been registered with International Assets Advisory in Grand Rapids, Michigan since 2013. Previous registrations include Ameriprise Financial Services in Grand Rapids, Michigan (2001-2011; 2012-2013) and IDS Life Insurance Company in Minneapolis, Minnesota (2001-2006). She is a registered broker and investment adviser with three US states: Florida, Michigan, and Oregon. Continue Reading