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Leon Roat Of Ameriprise Financial Services Has 3 Customer Complaints For Alleged Broker Misconduct

Who is Leon Roat of Ameriprise Financial Services?

Leon Roat (CRD #2214085) who is currently registered with Ameriprise Financial Services and located in San Jose, California is a subject of one of our many securities industry sales practice abuse investigations.

Leon Roat Customer Complaints

Leon Roat 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. All 3 of Leon Roat’s customers’ complaints were denied and, to date, the customers have not taken any further action.

Allegations Against Leon Roat

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 he was misguided by Leon Roat when purchasing his variable universal life policy.
  • The client alleged Leon Roat did not provide suitable investment advice.
  • The client alleged Leon Roat processed trades in her Ameriprise Strategic Portfolio Service Advantage accounts without her authorization.

Leon Roat Red Flags & Your Rights As An Investor

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

If you have questions about Ameriprise Financial Services and/or Leon Roat 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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