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David Brazen Of Ameriprise Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct

Who is David Brazen of Ameriprise Financial Services?

David Brazen (CRD #1415374) who is currently registered with Ameriprise Financial Services and located in Troy, Michigan is a subject of one of our many securities industry sales practice abuse investigations.

David Brazen Customer Complaints

David Brazen has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses.  Both of David Brazen’s customers’ complaints were denied and, to date, the customers have not taken any further action.

Allegations Against David Brazen

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

  • Client alleged his monthly payments were never invested in equities as was discussed with David Brazen upon the opening of the account.
  • The client alleged the annuities she purchased through David Brazen were not appropriate for her as she did not understand them, they have long surrender charge periods, and they lost value.

David Brazen Red Flags & Your Rights As An Investor

Of course, David Brazen 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 David Brazen at Ameriprise Financial Services on alert to review carefully the activity and performance of their accounts and question whether David Brazen 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 David Brazen

If you have questions about Ameriprise Financial Services and/or David Brazen 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 $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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