Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 1, 2019 indicate that California-based Ameriprise Financial Services broker/adviser Thomas Sharp has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Sharp (CRD# 1623353).
Thomas Sharp has spent 30 years in the securities industry and has been registered with Ameriprise Financial Services in Gold River, California since 2015. Previous registrations include Ameriprise Financial Services in Folsom, California (1987-2013) and IDS Life Insurance Company in Minneapolis, Minnesota (2001, 2003-2006). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on January 17, 1996; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 4, 1994; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on February 21, 1987. He is a registered broker and investment adviser with four US states: Arizona, California, Texas, and Washington. He is registered with one self-regulatory organization: FINRA.
According to his BrokerCheck report, he has received two customer complaints and one pending customer complaint.
In November 2018 a party of customers alleged Thomas Sharp, while employed at Ameriprise Financial Services, recommended unsuitable real estate investment trusts, misrepresented material facts, committed fraud, breached his fiduciary duty, failed in his supervisory duty, and acted professionally negligent. The customer is seeking unspecified damages in the pending complaint.
In 2017 a party of customers alleged Thomas Sharp, while employed at Ameriprise Financial Services, made unsuitable recommendations of investments in real estate investment trusts. The complaint settled for $147,000.
In 2015 a customer alleged Thomas Sharp, while employed at Ameriprise Financial Services, recommended unsuitable investments and breached FINRA rules. The complaint resulted in an award to the customer of more than $32,800.
If you or someone you know has lost money investing with Thomas Sharp, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.