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Gordon Shalek of Ameriprise Financial Services Has 3 Customer Complaints for Alleged Broker Misconduct

Who is Gordon Shalek of Ameriprise Financial Services?

Gordon Shalek (CRD #1557601) who is currently registered with Ameriprise Financial Services and located in Plantation, Florida is a subject of one of our many securities industry sales practice abuse investigations.

Gordon Shalek Customer Complaints

Gordon Shalek has been the subject of3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses.

One of Gordon Shalek’s 3 customer complaints was settled in favor of investors. Two of Gordon Shalek’s customer’s complaints were denied and the customers did not take any further action.

Allegations Against Gordon Shalek

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

  • Clients allege claims of unsuitability, misrepresentation, breach of fiduciary duty, and fraud against AEFA and Gordon Shalek in the recommendation and handling of their account. In addition, they allege their advisor was not licensed in Colorado at the time he sold AEFA products to the clients.
  • The client alleged that Gordon Shalek misappropriated a wire transfer representing a spin-off from a Real Estate Investment Trust.
  • The clients alleged that Gordon Shalek transferred their investments from a moderately conservative portfolio to a portfolio consisting of mostly equities, which they felt was an unsuitable recommendation.

Gordon Shalek Red Flags & Your Rights as An Investor

Of course, Gordon Shalek 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 that should put all current and former customers of Gordon Shalek at Ameriprise Financial Services on alert to review carefully the activity and performance of their accounts and question whether Gordon Shalek has engaged in any stockbroker misconduct that may have caused them investment losses.

A 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 Gordon Shalek

If you have questions about Ameriprise Financial Services, and/or Gordon Shalek 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 has been a trial attorney for more than 40 years and is the founding partner of The Law Offices of Robert Wayne Pearce. You can learn more about Robert and his accomplishments by clicking here.

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