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James Pettit Formerly With Ameriprise Financial Services, Inc. Has One Customer Complaint For Alleged Broker Misconduct

Who is James Pettit formerly with Ameriprise Financial Services, Inc.?

James Pettit (CRD #733916) who was formerly registered with Ameriprise Financial Services, Inc. and located in Suffield, Connecticut is a subject of one of our many securities industry sales practice abuse investigations.

James Pettit has had his own share of regulatory problems and investigations. He has been the subject of 2 investigations by FINRA and one pending investigation by the State of Connecticut. FINRA has permanently barred him in all capacities for failure to respond to its requests for information in connection with an investigation. The State of Connecticut’s regulatory action is pending and he is accused of engaging in certain improprieties rising to the level of dishonest or unethical practices in the securities business, including the borrowing of money from an account of a customer without the customer’s prior consent and engaging in an outside business activity involving a firm client without any notice or approval of his employer.

James Pettit Customer Complaint

James Pettit has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were former Connecticut client alleges that former James Pettit improperly engaged her in activity with regards to a private business dealing and recommended unsuitable investments. The customer complaint filed against James Pettit’s former employer Janney Montgomery Scott for investment losses caused by the alleged misconduct is pending as of the date of this report.

James Pettit Red Flags & Your Rights As An Investor

Of course, James Pettit 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 James Pettit at Ameriprise Financial Services, Inc. and Janney Montgomery Scott on alert to review carefully the activity and performance of their accounts and question whether James Pettit 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 Janney Montgomery Scott also raises questions about the brokerage firm’s 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 James Pettit

If you have questions about Ameriprise Financial Services, Inc., Janney Montgomery Scott, and/or James Pettit 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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