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Clifton Smith Of Ameriprise Financial Services, LLC And Formerly With Morgan Stanley Has 4 Customer Complaints For Alleged Broker Misconduct

Who is Clifton Smith of Ameriprise Financial Services, LLC?

Clifton Smith

Clifton Smith (CRD #2658251) who is currently registered as a broker and investment adviser with Ameriprise Financial Services, LLC and located in Louisville, Kentucky, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Ameriprise Financial Services, LLC, Clifton Smith was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Clifton Smith Customer Complaints

Clifton Smith has been the subject of 4 customer complaints that we know about seeking to recover investment losses. All 4 customer complaints were denied by Clifton Smiths employers and so for it does not appear that any of the investors took any further action that has been reported.

Allegations Against Clifton Smith

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

  • Unsuitable purchase of an annuity.
  • The multiple purchases of unsuitable variable annuity contracts were inappropriate.
  • Variable annuity contract should never been purchase for her.
  • Misrepresentation with respect to variable annuity contract.

Clifton Smith Red Flags & Your Rights As An Investor

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

Did You Lose Money Because of Broker Misconduct?

best investment fraud lawyers

If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At Ameriprise Financial Services, LLC Due To Clifton Smith

If you have questions about Ameriprise Financial Services, LLC, Morgan Stanley and/or Clifton Smith 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.

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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 $170 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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