DID MARK NICHOLAS WESLEY CAUSE YOU INVESTMENT LOSSES?
Mark Wesley Formerly With Ameriprise Financial Services, Inc. Has 8 Customer Complaints For Alleged Broker Misconduct
Who is Mark Wesley formerly with Ameriprise Financial Services, Inc.?
Mark Wesley (CRD #2511569) who was formerly registered with Ameriprise Financial Services, Inc. and located in Independence, Ohio, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Ameriprise Financial Services, Inc., Mark Wesley was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Mark Wesley has had his own regulatory problems. When he failed to respond to a FINRA request for information regarding one of its investigations, he was first suspended and then eventually barred from any further Association with any FINRA member firm in any capacity.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Mark Wesley Customer Complaints
Mark Wesley has been the subject of 8 customer complaints that we know about to recover investment losses. Three of the customer complaints were settled by Ameriprise Financial Services and its predecessor. The other 5 customer complaints were denied by the same brokerage firms and, to date, the customers have not taken any further action.
Allegations Against Mark Wesley
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- Unsuitable investment recommendation of REITs.
- Variable annuity contracts sold to client were unsuitable.
- Misrepresentations and misleading statements regarding option recommendations.
- Unsuitable investment recommendations of high-risk securities.
- Breach of fiduciary duty, misrepresentations, negligence, violations of FINRA conduct rules related to the offer and sale of REITs.
Mark Wesley Red Flags & Your Rights As An Investor
Of course, Mark Wesley 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 Mark Wesley at Ameriprise Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Mark Wesley has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services, Inc. 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.
Did You Lose Money Because of Broker Misconduct?
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, Inc. Due To Mark Wesley
If you have questions about Ameriprise Financial Services, Inc. and/or Mark Wesley 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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