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Alan Holt Of Ameriprise Financial Services Has 4 Customer Complaints For Alleged Broker Misconduct

Who is Alan Holt of Ameriprise Financial Services?

Alan Holt (CRD #1497129) who is currently registered with Ameriprise Financial Services and located in San Diego, California is a subject of one of our many securities industry sales practice abuse investigations.

Alan Holt Customer Complaints

Alan Holt has been the subject of 4 customer complaints that we know about. Two of Alan Holt’s 4 customer complaints were settled in favor of investors.  The other two customers’ complaints against Alan Holt were denied and, to date, the customers have not taken any further action.

Allegations Against Alan Holt

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Claimants allege that Alan Holt recommended an unsuitably high amount of trading which generated a high amount of commissions.
  • The client alleged that he was misled by Alan Holt and purchased variable annuities instead of fixed or indexed annuities.
  • The customer alleged he was invested into a mutual fund share class by Alan Holt that was not appropriate for his situation.

Alan Holt Red Flags & Your Rights As An Investor

Of course, Alan Holt did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Alan Holt at Ameriprise Financial Services on alert to review carefully the activity and performance of their accounts and question whether Alan Holt has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim To Recover Your Investment Losses At Ameriprise Financial Services Due To Alan Holt

If you have questions about Ameriprise Financial Services and/or Alan Holt and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Author Photo

Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $160 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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