Tagged with "Ameriprise"

FINRA Bars Former Ameriprise Advisor Over $2.2 Million in Client Loans

Posted on August 15th, 2025 at 1:42 PM
FINRA Bars Former Ameriprise Advisor Over $2.2 Million in Client Loans

The Financial Industry Regulatory Authority (FINRA) has permanently barred former Ameriprise Financial broker Eric A. Dupre for borrowing more than $2.2 million from clients without firm authorization.

Read More »

FINRA Bars Former Ameriprise Advisor Who “Falsified” Client Event Expenses

Posted on May 2nd, 2022 at 2:36 PM
FINRA Bars Former Ameriprise Advisor Who “Falsified” Client Event Expenses

The Financial Industry Regulatory Authority (FINRA) has barred a former Ameriprise advisor who allegedly falsified $25,000 in reimbursement requests submitted to the firm for client events that she sponsored through wholesaler contributions.

 
 
 

Read More »

Supreme Court Rules in Favor of Former Ameriprise Advisor

Posted on April 8th, 2022 at 12:09 PM
Supreme Court Rules in Favor of Former Ameriprise Advisor

The U.S. Supreme Court has ruled in favor of a former Ameriprise Financial advisor in a landmark decision that could provide advisors with more leeway when disputing arbitration awards.

 
 

Read More »

TESTIMONIALS

Previous
Next

I want to thank you for your excellent professional representation. It was greatly appreciated.

Michael M.

LATEST NEWS AND ARTICLES

September 17, 2025
FINRA Suspends Centaurus Dallas Broker Over Excessive Alternative Investment Sales

FINRA has suspended a Centaurus Financial broker, William Burks, for four months after finding he placed as much as 91 percent of a client’s net worth into illiquid alternative investments.

September 16, 2025
Former Morgan Stanley Advisors Win Partial Court Victory in Client Solicitation Dispute

Two former Morgan Stanley advisors in Hackensack, New Jersey have defeated Morgan Stanley’s initial effort to block them from soliciting clients, according to an August 15 order from New Jersey Superior Court.

September 15, 2025
California Young-Gun Investor Charged in Alleged $6 Million Ponzi Scheme

Federal prosecutors have accused Mihir Deepak Sukthankar, a California resident once celebrated as a teenage trading “prodigy,” of orchestrating a multi-million-dollar Ponzi scheme.