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Lawrence Margolin Of Ameriprise Financial Services, LLC And Formerly With Oppenheimer & Co. Inc. Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Lawrence Margolin of Ameriprise Financial Services, LLC?

Lawrence Margolin

Lawrence Margolin (CRD #2772361) who is currently registered with Ameriprise Financial Services, LLC and located in Boca Raton, Florida, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Ameriprise Financial Services, LLC, Lawrence Margolin was associated with Oppenheimer & Co. Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Lawrence Margolin Customer Complaints

Lawrence Margolin has been the subject of 2 customer complaints that we know about to recover investment losses. One customer complaint was denied by Prudential Securities and the customer took no further action. However, there is one pending arbitration proceeding against Lawrence Margolin’s former employer Oppenheimer and Co., Inc. for his alleged misconduct in a FINRA arbitration proceeding.

Allegations Against Lawrence Margolin

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

  • Fraud, breach of fiduciary duty, negligence, gross negligence, and breach of contract in connection with allegedly unsuitable investments and annuities and exchange traded funds.
  • Failure to disclose material facts of an annuity exchanged or a customer.

Lawrence Margolin Red Flags & Your Rights As An Investor

Of course, Lawrence Margolin 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 Lawrence Margolin at Ameriprise Financial Services, LLC and Oppenheimer & Co. Inc. on alert to review carefully the activity and performance of their accounts and question whether Lawrence Margolin has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services, LLC and Oppenheimer & Co. 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.

Did You Lose Money Because of Broker Misconduct?

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If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At Ameriprise Financial Services, LLC Due To Lawrence Margolin

If you have questions about Ameriprise Financial Services, LLC, Oppenheimer & Co. Inc. and/or Lawrence Margolin 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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