The State of New Hampshire recently announced that Ameriprise advisor Michael Clark (CRD#: 2580455) was fined. According to his BrokerCheck report, accessed on November 12, 2021, Michael Clark’s insurance licenses were also revoked from the States of New York and California. Here is a copy of the order from New Hampshire: Do You Have Concerns with […]
David Chang (CRD# 5020283), a Honolulu-based investment adviser, is under investigation for allegedly misleading his clients by “guaranteeing high returns,” according to a report by Hawaii News Now. Chang is currently registered as an investment adviser with WealthBridge Inc. Report: Hawaii GOP Chair David Chang Under FBI Investigation According to the report by Hawaii News […]
Robert Alvarez (CRD #: 2242198), an investment adviser registered with International Assets Advisory, was fined by the State of Louisiana, according to his BrokerCheck record, accessed on November 10, 2021. September 21, 2020: State Alleges Robert Alvarez Engaged in “Dishonest Practices” On September 21, 2020, the State of Louisiana imposed a civil fine, following allegations […]
Gary Ginsberg (CRD #: 1175258), a broker and an investment adviser registered with Ameriprise Financial Services, has been involved in a third customer settlement, according to his BrokerCheck record, accessed on November 3, 2021. Recent Settlement Concerns Alternative Investments Sold by Royal Alliance On September 3, 2020, a client alleged that the member firm did […]
Sam Head (CRD #: 2456312), a South Carolina broker registered with Ameriprise Financial Services, is involved in multiple customer disputes, according to his BrokerCheck record, accessed on November 2, 2021. Details surrounding these investor complaints are discussed below. Sam Head Involved in Multiple Investor Disputes at Ameriprise On October 28, 2020, clients alleged that Sam […]
Virginia based Ameriprise advisor James Dunn is involved in customer arbitration over foreign investments recommended to customers.