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Gary Imel Formerly With Ameriprise Financial Services, Inc. and Kalos Capital, Inc. Has 13 Customer Complaints For Alleged Broker Misconduct

Who is Gary Imel formerly with Ameriprise Financial Services, Inc.?

Gary Imel (CRD #254765) who was formerly registered with Ameriprise Financial Services, Inc. and located in Gig Harbor, Washington, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Ameriprise Financial Services, Inc., Gary Imel was associated with Kalos Capital, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Gary Imel Customer Complaints

Gary Imel has been the subject of 13 customer complaints that we know about to recover investment losses.  Ten of the 13 customer complaints were settled in favor of the investors. One customer complaint was denied and, to date, the customer has not taken any further action. The other 2 customer complaints remained pending.

Allegations Against Gary Imel

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

  • Unsuitable investment recommendations in the alternative space including business development companies.
  • Unsuitable investment recommendations of GPB Automotive, and 3 REIT investments.
  • Violation of FINRA rules related to REIT investment recommendations.
  • Breach of contract, breach of fiduciary duty and violations of state securities statutes related to direct investments.
  • Failure to conduct due diligence respect to an investment recommendation.
  • Recommendation of unsuitable, illiquid and high risk investments to a customer.
  • Breach of fiduciary duty, suitability, and overconcentration in alternative investments.
  • Unsuitable investment recommendations and breach of fiduciary duty.
  • Fraud related to the recommendation of GPB Capital and GPB Holdings private placement investments.
  • The unsuitable recommendation of an aggressive portfolio strategy.

Gary Imel Red Flags & Your Rights As An Investor

Of course, Gary Imel 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 Gary Imel at Ameriprise Financial Services, Inc. and Kalos Capital, Inc. on alert to review carefully the activity and performance of their accounts and question whether Gary Imel has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services, Inc. and Kalos Capital, Inc. 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, Inc. Due To Gary Imel

If you have questions about Ameriprise Financial Services, Inc., Kalos Capital, Inc., and/or Gary Imel 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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