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Joseph Liana Of Ameriprise Financial Services Has 3 Customer Complaints For Alleged Broker Misconduct

Who is Joseph Liana of Ameriprise Financial Services?

Joseph Liana (CRD #4049875) who is currently registered with Ameriprise Financial Services and located in Westbury, New York is a subject of one of our many securities industry sales practice abuse investigations.

Joseph Liana Customer Complaints

Joseph Liana has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Joseph Liana’s 3 customer complaints was settled in favor of investors. Two of Joseph Liana’s customers complaints were denied and, to date, the customers have not taken any further action.

Allegations Against Joseph Liana

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

  • The client alleged Apple Inc. shares were sold without his authorization in January 2020 by Joseph Liana.
  • The client alleged Joseph Liana caused tax consequences for them with a transfer of 401k assets from another firm.
  • The client alleged Joseph Liana failed to provide suitable financial advice, failed to correctly rollover an existing Roth IRA, failed to execute an instructed transaction in a timely fashion and misrepresented the replacement of the client’s long-term care policy.

Joseph Liana Red Flags & Your Rights As An Investor

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

If you have questions about Ameriprise Financial Services and/or Joseph Liana 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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