Ameriprise Financial Fires Broker Stephen Mosley For Participating in Private Securities Transactions

Former Ameriprise Financial Advisor Stephen Mosley was terminated from the firm’s Lake Havasu City’s Arizona office. The firm stated that he was “terminated for compliance policy violations related to complying with disciplinary action and heightened supervision, soliciting a prohibited security and suitability of a transaction.” This is sometimes referred to as “selling away,” and is…

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How To Recover Your Losses With Paul Falcon and Aegis Capital

Stoltmann Law Offices is investigating Paul Falcon, a Florida-based Aegis Capital broker. Mr. Falcon allegedly recommended unsuitable investments, executed unauthorized trades, made excessive transactions and recommended investments that performed properly. He was also accused of failing to fully explain an investment. These are all against securities laws and Falcon’s firm, Aegis Capital, can be held…

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Broker Todd Ryman Has Multiple Complaints: What Investors Can Do

According to multiple complaints filed with the Financial Industry Regulatory Authority (FINRA), Todd Douglas Ryman has been subject to several disclosures on his record, including allegations of unauthorized trading, unsuitable trading, misrepresentation of material facts, and other transgressions. He was also accused of selling an unsuitable Private Equity fund. These are all against securities laws…

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Short-Term UIT Trading Losses With Christopher Hickman? How You Can Bring a Claim Against Cetera Advisors

According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Christopher R. Hickman was terminated from Cetera Advisors for “frequent short-term fixed-income securities trading in customer accounts under firm review.” Allegedly, between May 2011 and April 2014, Hickman engaged in an unsuitable pattern of short-term trading of…

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