Stephanie Grossman Was Permitted to Resign Following an Internal Review in Connection to Alleged Rule Violations

Stephanie GrossmanPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 19, 2018 indicate that former Minnesota-based Ameriprise Financial broker/adviser Stephanie Grossman recently resigned from her former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Grossman (CRD# 1411355).

Stephanie Grossman has spent 25 years in the securities industry and was most recently registered with Ameriprise Financial Services in Edina, Minnesota (1992-2018). She was previously registered with IDS Life Insurance Company in Minneapolis, Minnesota (1992-2006). She has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which she obtained on April 16, 1992, and Series 7 (General Securities Representative Examination), which she obtained on March 20, 1992. Her FINRA records list the following other, uncompensated business activities: the board of directors of the Tergard Foundation, and a co-trustee of trust accounts. She is currently not registered with any state, firm or self-regulatory organization (SRO).

According to her FINRA-provided BrokerCheck report, she recently resigned her former employer in connection to alleged rule violations.

In December 2017 she was “permitted to resign” from her position at Ameriprise Financial Services while she was under internal review in connection to alleged violations of company policy governing compliance with a heightened supervision plan.

If you or someone you know has a complaint regarding Stephanie Grossman, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup lost funds. Fitapelli Kurta accepts every case on contingency: we only get paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.

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