Articles Tagged with Ameriprise Financial Services

Thomas EisenhuthPublic records published by the Financial Industry Regulatory Authority (FINRA) on July 16, 2018 indicate that Florida-based Ameriprise Financial Services broker/adviser Thomas Eisenhuth has received pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Eisenhuth (CRD# 4364320).

Thomas Eisenhuth has spent 17 years in the securities industry and has been registered with Ameriprise Financial Services in Winter Park, Florida since July 2017. Previous registrations include Morgan Stanley in Winter Park, Florida (2009-2017); Morgan Stanley & Company in Winter Park, Florida (2009); Merrill Lynch in Winter Park, Florida (2002-2009); and First Union Securities in St. Louis, Missouri (2001-2002). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on June 4, 2002; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 13, 2001; Series 31 (Futures Managed Funds Examination), which he obtained on April 27, 2010; Series 7 (General Securities Representative Examination), which he obtained on May 7, 2002; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on April 10, 2001. He is a registered broker and investment adviser with 29 US states and territories.

According to his BrokerCheck report, he has received three pending customer complaints.

Daniel Torres

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 9, 2018 indicate that California-based Ameriprise Financial Services broker/adviser Daniel Torres has received several unsatisfied tax liens. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Torres (CRD# 2163914).

Daniel Torres has spent twenty-six years in the securities industry and has been registered with Ameriprise Financial Services in Irvine, California since 1991. He was previously registered with IDS Life Insurance Company in Minneapolis, Minnesota (1991-2006). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 8, 1991 and Series 7 (General Securities Representative Examination), which he obtained on October 1, 1991. He is a registered broker and investment adviser with 18 US states and territories: Arizona, California, Colorado, Georgia, Hawaii, Idaho, Illinois, Missouri, Nevada, New Jersey, New Mexico, New York, Ohio, Oklahoma, Oregon, Pennsylvania, Texas, and Washington.

According to his BrokerCheck report, he has received three denied customer complaints and three unsatisfied tax liens.

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 25, 2018 indicate that Oregon-based Ameriprise Financial Services broker Ronald Lam has received customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Lam (CRD# 3067765).

Ronald Lam has spent nineteen years in the securities industry and has been registered with Ameriprise Financial Services in Lake Oswego, Oregon since 2015. Previous registrations include Wells Fargo Advisors in Wilsonville, Oregon (2011-2015); Wells Fargo Investments in Portland, Oregon (2009-2011); Wamu Investments in Tigard, Oregon (2002-2009); and Phillips & Company Securities in Portland, Oregon (1998-2002). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 22, 1998, and Series 7 (General Securities Representative Examination), which he obtained on June 17, 1998. He is a registered broker and investment adviser with eight US states: Arizona, California, Hawaii, Illinois, Oregon, Texas, Utah and Washington.

According to his BrokerCheck report, Ronald Lam has received two customer complaints and was discharged form a former employer in connection to alleged rule violations.

Lorene FairbanksPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 11, 2017 indicate that former Ohio-based Ameriprise Financial Services broker/adviser Lorene Fairbanks, also known as Lori Miller, recently resigned from her former employer and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Fairbanks (CRD# 2788572).

Lorene Fairbanks has spent 18 years in the securities industry and was most recently registered with Ameriprise Financial Services in Poland and Canfield, Ohio (2014-2017). Previous registrations include Merrill Lynch in Canfield, Ohio and Citigroup Global Markets in Canfield, Ohio. She is currently not registered with any state or firm.

According to her BrokerCheck report, she has received one FINRA sanction and four customer complaints, and recently resigned from her former employer in connection to alleged rule violations.

Geraldine GordonPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 6 2017 indicate that Kentucky-based Ameriprise Financial Services broker/adviser Geraldine Gordon has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is investigating allegations of misconduct against Ms. Gordon (CRD# 2499098).

Geraldine Gordon has spent 22 years in the securities industry and has been registered with Ameriprise Financial Services in Lexington, Kentucky since 1994. She was previously registered with IDS Life Insurance Company in Minneapolis, Minnesota (1994-2006). She is a registered broker and investment adviser with 17 US states and territories.

According to her BrokerCheck report, she has received one FINRA sanction and three customer complaints.

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