UPDATE : ARBchek

This Report is a product of Securities Arbitration Commentator, Inc.

New Award Briefs

Report Dated: 2017-10-12

UA 2017-37

Primary Sort

Secondary Sort

Dispute Information

Damages*

TypeDisp

MemberEmployee

Allegation I

LoanDefault

Short Caption

Wells Fargo v. Mendoza

Allegation II

BreachContract

Forum

FINRA

Allegation III

UnjustEnrichment

Docket No

16-01365

Products

PromissoryNote

Issue Date

2017-09-26

Situs

San Francisco

State

CA

Clmd Compensatory

262.8

Total Amt Awarded

Equity

Compensatory Awarded

Equity

Punitive Damage Awarded

Attorney Fees Awarded

0.0

* Damage field dollar figures are divided by 1,000 and rounded to the nearest $100; e.g., $2,500 appears as" 2.5."

Claim Summary

Cs alleged that Rs breached promissory notes dated 9/9/11 and 1/18/13.

Notes

This is a Stipulated Award. Panel composition issue. Arbitrator Remarks -- Reformation U-5 granted.

People & Entities

Arbitrators

Ralph A. Cotton, CPA

Broker-Dealers Named

Wells Fargo Advisors LLC

Professionals

  • Cs: (WFALLC) Kevin J. Woods, White & Woods, San Francisco, CA. OSC.
  • Rs: (MCM) Melinda Jane Steuer, Law Offices of M.J. Steuer, San Francisco, CA.

TypeDisp

CustomerMember

Allegation I

Churning

Short Caption

Smith v. ITradeDirect.com Corporation

Allegation II

UnauthTdg

Forum

FINRA

Allegation III

Suitability

Docket No

17-01225

Products

ETFs

Issue Date

2017-09-25

Situs

San Francisco

State

CA

Clmd Compensatory

111.5

Total Amt Awarded

111.5

Compensatory Awarded

111.5

Punitive Damage Awarded

0.0

Attorney Fees Awarded

0.0

* Damage field dollar figures are divided by 1,000 and rounded to the nearest $100; e.g., $2,500 appears as" 2.5."

Claim Summary

The causes of action related to investments in General Steel Holdings Inc., China Precision Steel Inc., Arch Coal Inc., Western Refining, Direxion Small Cap Bull 3x Shares Exchange Traded Fund and Proshares Powershare Ultrashort Real Estate ETF, among other securities.

Notes

Rs ITradeDirect.com Corporation was not assessed any portion of the awarded amount. Rs Lawrence Joseph Alfano was assessed. Severance. Rule 12801 default judgment. Arbitrator Remarks.

Arbitrators

Jonathan H. Krotinger, Esq.

Broker-Dealers Named

ITradeDirect.com Corporation

Professionals

  • Cs: Hilton Wiener, Law Office of H. Wiener, New York, NY.
  • Rs: (ITDCorp & LJA) No-show.

TypeDisp

SmallClms

Allegation I

Misappropriatn

Short Caption

Amakwe v. Fidelity Brokerage

Allegation II

Supervision

Forum

FINRA

Allegation III

Docket No

16-03619

Products

NP

Issue Date

2017-09-29

Situs

Washington

State

DC

Clmd Compensatory

16.0

Total Amt Awarded

0.0

Compensatory Awarded

0.0

Punitive Damage Awarded

0.0

Attorney Fees Awarded

* Damage field dollar figures are divided by 1,000 and rounded to the nearest $100; e.g., $2,500 appears as" 2.5."

Claim Summary

Cs alleged that her broker misappropriated funds from her account.

Notes

None.

Arbitrators

Patricia Horan Latham, Esq.

Broker-Dealers Named

Fidelity Brokerage Services LLC

Professionals

  • Cs: Pro se.
  • Rs: (FBSLLC) Joel M. Everest, Bressler Amery & Ross, Birmingham, AL. OSC.

TypeDisp

EmployeeMember

Allegation I

Expungement(CRD)

Short Caption

Burton v. NYLife Securities

Allegation II

Defamation

Forum

FINRA

Allegation III

Docket No

17-00207

Products

Equity; LifeInsurance

Issue Date

2017-09-28

Situs

Washington

State

DC

Clmd Compensatory

0.0

Total Amt Awarded

Equity

Compensatory Awarded

0.0

Punitive Damage Awarded

Attorney Fees Awarded

* Damage field dollar figures are divided by 1,000 and rounded to the nearest $100; e.g., $2,500 appears as" 2.5."

Claim Summary

Cs requested the expungement of two customer complaints, one alleging that a life insurance policy was unsuitable and the other alleging that Cs did not follow the customer's instructions to roll over an IRS immediately.

Notes

Arbitrator Remarks -- Expungement granted after a hearing on the merits.

Arbitrators

Olivia Milbank Farrar, JD

Broker-Dealers Named

NYLife Securities LLC

Professionals

  • Cs: (BRB) Dochtor Kennedy & Owen Harnett, AdvisorLaw LLC, Broomfield, CO.
  • Rs: (NYLSLLC) Jeffrey A. Sturgeon, Morgan Lewis & Bockius, Philadelphia, PA. OSC.

TypeDisp

MemberEmployee

Allegation I

Raiding

Short Caption

Charles Schwab v. Delgado

Allegation II

TakingRecords

Forum

FINRA

Allegation III

InjunctiveRelief

Docket No

15-01596

Products

NP

Issue Date

2017-09-28

Situs

Orlando

State

FL

Clmd Compensatory

0.0

Total Amt Awarded

50.0

Compensatory Awarded

0.0

Punitive Damage Awarded

0.0

Attorney Fees Awarded

50.0

* Damage field dollar figures are divided by 1,000 and rounded to the nearest $100; e.g., $2,500 appears as" 2.5."

Claim Summary

Cs alleged that Rs retained and used its trade secrets after his resignation from Cs' employment.

Notes

Raiding case -- Injunctive Relief Granted. Arbitrator Remarks.

Arbitrators

Mauricio Arcadier, JD - Chair; John P. Cullem, Esq.; Margaret R. Hoyt

Broker-Dealers Named

Charles Schwab & Company Incorporated

Professionals

  • Cs: (CS&CInc) Michael R. Greco, Fisher & Phillips, Denver, CO. OSC.
  • Rs: (AD) Clinton W. Marrs, Marrs Griebel Law Ltd., Albuquerque, NM.

TypeDisp

CustomerMember

Allegation I

Suitability

Short Caption

Anidjar v. Morgan Stanley

Allegation II

Misreprestn

Forum

FINRA

Allegation III

Supervision

Docket No

16-02717

Products

Equity

Issue Date

2017-09-29

Situs

Boca Raton

State

FL

Clmd Compensatory

200.0

Total Amt Awarded

Equity

Compensatory Awarded

Equity

Punitive Damage Awarded

Attorney Fees Awarded

* Damage field dollar figures are divided by 1,000 and rounded to the nearest $100; e.g., $2,500 appears as" 2.5."

Claim Summary

Cs alleged over-concentration, among other things. The causes of action related to investments in the energy sector.

Notes

This is a Stipulated Award. All-Public Panel. Arbitrator Remarks -- Expungement granted.

Arbitrators

John B. Sochacki - Chair; Fredric R. Dichter, JD; Harris Gally

Broker-Dealers Named

Morgan Stanley

Professionals

  • Cs: Gary S. Menzer, Menzer & Hill, Boca Raton, FL.
  • Rs: (MSSBLLC) Christopher M. Sacco, Morgan Stanley Wealth Management, St. Petersburg, FL. ISC.

TypeDisp

SmallClms

Allegation I

UnauthTdg

Short Caption

Cordero v. Merrill Lynch

Allegation II

Churning

Forum

FINRA

Allegation III

Misreprestn

Docket No

17-00449

Products

MutualFunds

Issue Date

2017-09-27

Situs

Miami

State

FL

Clmd Compensatory

50.0

Total Amt Awarded

0.0

Compensatory Awarded

0.0

Punitive Damage Awarded

0.0

Attorney Fees Awarded

0.0

* Damage field dollar figures are divided by 1,000 and rounded to the nearest $100; e.g., $2,500 appears as" 2.5."

Claim Summary

Cs alleged that Rs engaged in the unauthorized trading of mutual funds.

Notes

Pre-Hearing Adjudication -- Full Dismissal. Arbitrator Remarks -- Case law cited. Explained Award.

Arbitrators

Richard Carl Smukler

Broker-Dealers Named

Merrill Lynch Pierce Fenner & Smith Incorporated

Professionals

  • Cs: Luis F. Biason, L.F. Biason PA, North Miami Beach, FL.
  • Rs: (MLPFSInc & SDK) Tanya S. Lambrechts, Bressler Amery & Ross, Fort Lauderdale, FL. OSC.

TypeDisp

EmployeeMember

Allegation I

Expungement(CRD)

Short Caption

Stoddard v. Citigroup Global

Allegation II

Defamation

Forum

FINRA

Allegation III

Docket No

16-02889

Products

Equity; Annuities; MutualFunds

Issue Date

2017-09-28

Situs

Boston

State

MA

Clmd Compensatory

0.0

Total Amt Awarded

Equity

Compensatory Awarded

0.0

Punitive Damage Awarded

Attorney Fees Awarded

* Damage field dollar figures are divided by 1,000 and rounded to the nearest $100; e.g., $2,500 appears as" 2.5."

Claim Summary

Cs requested the expungement of six customer complaints.

Notes

Arbitrator Remarks -- Expungement granted after a hearing on the merits.

Arbitrators

John Francis Markuns

Broker-Dealers Named

Citigroup Global Markets Incorporated

Professionals

  • Cs: (CDS) Dochtor Kennedy, Broomfield, CO.
  • Rs: (CGMInc) David I. Hantman & Consuela Mejer, Bressler Amery & Ross, New York, NY. OSC.

TypeDisp

EmployeeMember

Allegation I

Reformation(U-5)

Short Caption

Prascus v. MidAmerica Financial

Allegation II

Defamation

Forum

FINRA

Allegation III

WrongTerm

Docket No

16-03667

Products

NP

Issue Date

2017-09-27

Situs

Baltimore

State

MD

Clmd Compensatory

0.0

Total Amt Awarded

Equity

Compensatory Awarded

0.0

Punitive Damage Awarded

Attorney Fees Awarded

* Damage field dollar figures are divided by 1,000 and rounded to the nearest $100; e.g., $2,500 appears as" 2.5."

Claim Summary

Cs alleged that his Form U-5 contained defamatory reasons for termination pertaining to the disclosure of Cs' outside securities account to Rs, an alleged customer's complaint, and information entered by Cs on a mutual fund application.

Notes

Arbitrator Remarks -- Reformation U-5 granted.

Arbitrators

Steven T. Stern, Esq.

Broker-Dealers Named

MidAmerica Financial Services Incorporated

Professionals

  • Cs: Dochtor Kennedy & Michael O'Gara, AdvisorLaw LLC, Broomfield, CO.
  • Rs: (MFSInc) Bruce Deemer, Joplin, MO. ISC.

TypeDisp

EmployeeMember

Allegation I

Expungement(CRD)

Short Caption

Bennett v. Wells Fargo

Allegation II

Defamation

Forum

FINRA

Allegation III

Docket No

17-00177

Products

DirectInvesmts

Issue Date

2017-09-29

Situs

Marquette

State

MI

Clmd Compensatory

0.0

Total Amt Awarded

0.0

Compensatory Awarded

0.0

Punitive Damage Awarded

Attorney Fees Awarded

* Damage field dollar figures are divided by 1,000 and rounded to the nearest $100; e.g., $2,500 appears as" 2.5."

Claim Summary

Cs requested the expungement of a customer complaint alleging a material misrepresentation regarding fees for the Diversified Managed Allocations program.

Notes

This is an Amended Award.

Arbitrators

Terry F. Peppard, Esq.

Broker-Dealers Named

Wells Fargo Advisors LLC

Professionals

  • Cs: (SJB) Owen Harnett, AdvisorLaw LLC, Broomfield, CO.
  • Rs: (WFALLC) David S. Repking, Greenberg Traurig LLP, Chicago, IL. OSC.

TypeDisp

CustomerMember

Allegation I

Misappropriatn

Short Caption

Heymans v. Holt

Allegation II

Fraud

Forum

FINRA

Allegation III

Supervision

Docket No

16-03582

Products

*

Issue Date

2017-09-28

Situs

Minneapolis

State

MN

Clmd Compensatory

631.2

Total Amt Awarded

0.0

Compensatory Awarded

0.0

Punitive Damage Awarded

0.0

Attorney Fees Awarded

0.0

* Damage field dollar figures are divided by 1,000 and rounded to the nearest $100; e.g., $2,500 appears as" 2.5."

Claim Summary

Cs alleged that their broker stole over a million dollars from them and failed to invest their money in investment products as promised.

Notes

Rule 12801 default judgment. Panel composition issue.

Arbitrators

Steven M. Bialick

Broker-Dealers Named

Harbour Investments Incorporated

Professionals

  • Cs: Stacy P. Slaughter & J. Austin Hurt, Robins Kaplan LLP, Minneapolis, MN.
  • Rs: (MH) None.
  • Rs: (HIInc & NS) David Genelly, Vanasco Genelly & Miller, Chicago, IL. OSC.

TypeDisp

SmallClms

Allegation I

Suitability

Short Caption

Listro v. Wells Fargo

Allegation II

Supervision

Forum

FINRA

Allegation III

BreachContract

Docket No

15-03232

Products

MutualFunds

Issue Date

2017-09-26

Situs

Newark

State

NJ

Clmd Compensatory

50.0

Total Amt Awarded

0.0

Compensatory Awarded

0.0

Punitive Damage Awarded

Attorney Fees Awarded

0.0

* Damage field dollar figures are divided by 1,000 and rounded to the nearest $100; e.g., $2,500 appears as" 2.5."

Claim Summary

Bare-Bones Summary.

Notes

Pre-Hearing Adjudication -- Full Dismissal. Arbitrator Remarks -- Expungement granted after a hearing on the merits.

Arbitrators

Marvin L. Schuldiner

Broker-Dealers Named

RBC Capital Markets LLC; Wells Fargo Advisors LLC

Professionals

  • Cs: Jonathan E. Neuman, Law Offices of J.E. Neuman, Fresh Meadows, NY.
  • Rs: (WFALLC & RDG) Michael Naccarato, Wells Fargo Law Department, St. Louis, MO. ISC.
  • Rs: (RBCCMLLC) Patrick J. Howley, Vice President, RBC Wealth Management, Parsippany, NJ. ISC.

TypeDisp

CustomerMember

Allegation I

UnauthTdg

Short Caption

Kaplan v. Oppenheimer & Company

Allegation II

Suitability

Forum

FINRA

Allegation III

Misreprestn

Docket No

16-02160

Products

CorpDebt

Issue Date

2017-09-26

Situs

New York

State

NY

Clmd Compensatory

330.0

Total Amt Awarded

Equity

Compensatory Awarded

Equity

Punitive Damage Awarded

0.0

Attorney Fees Awarded

* Damage field dollar figures are divided by 1,000 and rounded to the nearest $100; e.g., $2,500 appears as" 2.5."

Claim Summary

Bare-Bones Summary.

Notes

This is a Stipulated Award. All-Public Panel. Arbitrator Remarks -- Expungement granted. Explained Award.

Arbitrators

Brooks White - Chair; Patricia Kathleen Costello; Elliot Schnapp

Broker-Dealers Named

Oppenheimer & Company Incorporated; Raymond James & Associates Incorporated

Professionals

  • Cs: Kevin T. Hoffman, Law Offices of K.T. Hoffman, Greenwich, CT.
  • Rs: (O&CInc) Ralph T. Izzo, New York, NY. ISC.
  • Rs: (RJ&AInc) Robert M. Rudnicki, St. Petersburg, FL. ISC.
  • Rs: (PCM) Robert L. Herskovits, Herskovits PLLC, New York, NY.

TypeDisp

MemberEmployee

Allegation I

Raiding

Short Caption

Charles Schwab v. Picinich

Allegation II

TakingRecords

Forum

FINRA

Allegation III

InjunctiveRelief

Docket No

16-00489

Products

NP

Issue Date

2017-09-27

Situs

Philadelphia

State

PA

Clmd Compensatory

0.0

Total Amt Awarded

Equity

Compensatory Awarded

Equity

Punitive Damage Awarded

0.0

Attorney Fees Awarded

0.0

* Damage field dollar figures are divided by 1,000 and rounded to the nearest $100; e.g., $2,500 appears as" 2.5."

Claim Summary

Bare-Bones Summary.

Notes

This is a Stipulated Award. Raiding case -- Injunctive Relief Granted.

Arbitrators

Laura A. Kaster - Chair; Andrea Lee Wilson; Dale A. Pope

Broker-Dealers Named

Charles Schwab & Company Incorporated

Professionals

  • Cs: (CS&CInc) Michael R. Greco, Fisher & Phillips, Denver, CO. OSC.
  • Rs: (DJP) Clinton Marrs, Marrs Griebel Law Ltd, Albuquerque, NM.

TypeDisp

CustomerMember

Allegation I

Misreprestn

Short Caption

Patterson v. Ladenburg Thalmann

Allegation II

Misappropriatn

Forum

FINRA

Allegation III

Negligence

Docket No

16-00972

Products

DirectInvesmts

Issue Date

2017-09-25

Situs

Philadelphia

State

PA

Clmd Compensatory

711.0

Total Amt Awarded

357.8

Compensatory Awarded

357.8

Punitive Damage Awarded

0.0

Attorney Fees Awarded

0.0

* Damage field dollar figures are divided by 1,000 and rounded to the nearest $100; e.g., $2,500 appears as" 2.5."

Claim Summary

The causes of action related to investments in World Quest Communications and Park Avenue Associates.

Notes

All-Public Panel.

Arbitrators

John James McGovern, Jr., Esq. - Chair; Gordon M. Wase, Esq.; Kathleen Kovach Murphy, Esq.

Broker-Dealers Named

Ladenburg Thalmann & Company Incorporated

Professionals

  • Cs: Timothy J. Dennin, T.J. Dennin PC, Northport, NY.
  • Rs: (LT&CInc) Mark J. Asterita, Sallah Astarita & Cox, Verona, NJ. OSC.

TypeDisp

EmployeeMember

Allegation I

Expungement(CRD)

Short Caption

Graham v. Citigroup Global

Allegation II

Defamation

Forum

FINRA

Allegation III

Docket No

17-00550

Products

CorpDebt

Issue Date

2017-09-29

Situs

PP

State

PP

Clmd Compensatory

0.0

Total Amt Awarded

Equity

Compensatory Awarded

0.0

Punitive Damage Awarded

Attorney Fees Awarded

* Damage field dollar figures are divided by 1,000 and rounded to the nearest $100; e.g., $2,500 appears as" 2.5."

Claim Summary

Cs requested the expungement of two customer complaints, one by his own mother alleging that he mismanagement his grandmother's account, and the other by two customers who alleged that he made unsuitable investments in discretionary accounts.

Notes

Arbitrator Remarks -- Expungement granted after a hearing on the merits.

Arbitrators

Craig Charles Beles, Esq.

Broker-Dealers Named

Citigroup Global Markets Incorporated

Professionals

  • Cs: (MEG) Dochtor Kennedy & Owen Harnett, AdvisorLaw LLC, Broomfield, CO.
  • Rs: (CGMInc) David I. Hantman, Bressler Amery & Ross, New York, NY. OSC.

TypeDisp

SmallClms

Allegation I

Negligence

Short Caption

Serwatka v. LPL Financial

Allegation II

Forum

FINRA

Allegation III

Docket No

17-00905

Products

NP

Issue Date

2017-09-26

Situs

PP

State

PP

Clmd Compensatory

3.6

Total Amt Awarded

0.2

Compensatory Awarded

0.2

Punitive Damage Awarded

Attorney Fees Awarded

* Damage field dollar figures are divided by 1,000 and rounded to the nearest $100; e.g., $2,500 appears as" 2.5."

Claim Summary

Bare-Bones Summary.

Notes

None.

Arbitrators

Michael James Malone

Broker-Dealers Named

LPL Financial LLC

Professionals

  • Cs: Pro se.
  • Rs: (LPLFLLC) Kirsten Patzer, Boston, MA. ISC.

TypeDisp

MemberEmployee

Allegation I

LoanDefault

Short Caption

Wells Fargo v. Giangrande

Allegation II

BreachContract

Forum

FINRA

Allegation III

Docket No

15-02697

Products

PromissoryNote

Issue Date

2017-09-27

Situs

Columbia

State

SC

Clmd Compensatory

190.1

Total Amt Awarded

Equity

Compensatory Awarded

Equity

Punitive Damage Awarded

Attorney Fees Awarded

0.0

* Damage field dollar figures are divided by 1,000 and rounded to the nearest $100; e.g., $2,500 appears as" 2.5."

Claim Summary

Bare-Bones Summary.

Notes

This is a Stipulated Award.

Arbitrators

Thomas Joseph Atkinson, Sr., JD

Broker-Dealers Named

Wells Fargo Advisors LLC

Professionals

  • Cs: (WFALLC) Deirdre Wolff, St. Louis, MO. ISC.
  • Rs: (JWG) James Weston, Trotter Jones LLP, Augusta, GA.

TypeDisp

CustomerEmployee

Allegation I

Misappropriatn

Short Caption

Gottschall v. Harbinger Asset Management

Allegation II

Misreprestn

Forum

FINRA

Allegation III

Suitability

Docket No

16-02899

Products

DirectInvesmts

Issue Date

2017-09-25

Situs

Columbia

State

SC

Clmd Compensatory

1600.0

Total Amt Awarded

1500.0

Compensatory Awarded

1200.0

Punitive Damage Awarded

300.0

Attorney Fees Awarded

0.0

* Damage field dollar figures are divided by 1,000 and rounded to the nearest $100; e.g., $2,500 appears as" 2.5."

Claim Summary

Cs alleged that their broker recommended unsuitable alternative investment products and solicited an improper loan.

Notes

Big $s. Punitive Damages. Rs Harbinger Asset Management LLC and Harbinger Financial Group Inc. were not assessed any portion of the awarded amount. Rs Christopher Thomas Tolmacs was assessed. Majority Public Panel. Arbitrator Remarks.

Arbitrators

Avery B. Goodman, Esq. - Chair; Walter J. Wylie; Mitchell M. Willoughby, Esq.

Broker-Dealers Named

Harbinger Asset Management LLC; Harbinger Financial Group Incorporated

Professionals

  • Cs: Sheila A. Woolson, Epstein Becker & Green, Newark, NJ.
  • Rs: (HAMLLC & HFGInc) No-show. -- Did not voluntarily submit to arbitration.
  • Rs: (CTT) None.

TypeDisp

CustomerMember

Allegation I

Suitability

Short Caption

Stofer v. Tolsma

Allegation II

Misreprestn

Forum

FINRA

Allegation III

Negligence

Docket No

16-01999

Products

REITs

Issue Date

2017-09-26

Situs

Seattle

State

WA

Clmd Compensatory

482.5

Total Amt Awarded

0.0

Compensatory Awarded

0.0

Punitive Damage Awarded

Attorney Fees Awarded

0.0

* Damage field dollar figures are divided by 1,000 and rounded to the nearest $100; e.g., $2,500 appears as" 2.5."

Claim Summary

The causes of action related to investments in CNL Income Properties, ICON Leasing Fund II, the Behringer Harvard Strategic Opportunity Fund II LP, and Behringer Harvard Opportunity REIT I.

Notes

PHL -- Involves bankruptcy. Majority Public Panel.

Arbitrators

Thomas R. Dreiling, Esq. - Chair; Ian Stephen Birk; Chris Robert Youtz

Broker-Dealers Named

Securities America Incorporated

Professionals

  • Cs: Aaron Israels & David Neuman, Israels & Neuman, Bellevue, WA.
  • Rs: (KMT) John R. Bamford, Nevers Palazzo et al., Westlake Village, CA.
  • Rs: (SAInc) Chad Weaver, Freeman Mathis & Gary, Hermosa Beach, CA. OSC.

TypeDisp

EmployeeMember

Allegation I

Reformation(U-5)

Short Caption

Ausloos v. Ameriprise Financial

Allegation II

Defamation

Forum

FINRA

Allegation III

BreachContract

Docket No

16-01943

Products

PromissoryNote

Issue Date

2017-09-25

Situs

Milwaukee

State

WI

Clmd Compensatory

1000.0

Total Amt Awarded

Equity

Compensatory Awarded

Equity

Punitive Damage Awarded

0.0

Attorney Fees Awarded

0.0

* Damage field dollar figures are divided by 1,000 and rounded to the nearest $100; e.g., $2,500 appears as" 2.5."

Claim Summary

Cs alleged that his termination was based on false allegations that Rs submitted on Cs' Form U-5.

Notes

This is a Stipulated Award.

Arbitrators

Mark A. Frankel, JD - Chair; Charles Craig Howard; Gregory G. Wille, Esq.

Broker-Dealers Named

Ameriprise Financial Services Incorporated

Professionals

  • Cs: (AJA) None. Previously represented by counsel until 7/5/17 when a Notice of Withdrawal was filed with FINRA.
  • Rs: (AFSInc) Edward Walton, Troy, MI. ISC.
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