| Read Time: 2 minutes |

DID CARMEN SMITH LANCE CAUSE YOU INVESTMENT LOSSES?

Carmen Lance Of Ameriprise Financial Services And Formerly With Securities America And Securities America Advisors Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Carmen Lance of Ameriprise Financial Services?

Carmen Lance (CRD #4980630) who is currently registered with Ameriprise Financial Services and located in Murphy, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. Prior to Ameriprise Financial Services, Carmen Lance was associated with Securities America, Securities America Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Carmen Lance Customer Complaints

Carmen Lance has been the subject of 2 customer complaints that we know about. One of Carmen Lance’s 2 customer complaints was settled in favor of investors. One of Carmen Lance’s customers’ complaints was denied and, to date, the customer has not taken any further action.

Allegations Against Carmen Lance

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

  • Allegation consisted of negligence by Carmen Lance.
  • The clients alleged potential tax consequences were not disclosed by Carmen Lance before recommending a transfer from brokerage to fee-based managed accounts.

Carmen Lance Red Flags & Your Rights As An Investor

Of course, Carmen Lance 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 Carmen Lance at Ameriprise Financial Services, Securities America, and Securities America Advisors on alert to review carefully the activity and performance of their accounts and question whether Carmen Lance has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services, Securities America, and Securities America Advisors 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 Carmen Lance

If you have questions about Ameriprise Financial Services, Securities America, Securities America Advisors, and/or Carmen Lance 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

Rate this Post

1 Star2 Stars3 Stars4 Stars5 Stars
Loading...