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Paul Allen Berkman Of Ameriprise Financial Services, LLC Formerly with AXA Advisors, LLC Has 2 Customer Complaints for Alleged Broker Misconduct Within Past 2 Years

Who is Paul A. Berkman with Ameriprise Financial Services, LLC?

Paul Berkman (CRD #1002769) who is currently registered with Ameriprise Financial Services, LLC and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations.  

Prior to Ameriprise Financial Services, LLC, Paul Berkman was associated with AXA Advisors, LLC, and 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

AXA Advisors, LLC Broker Misconduct

In his career, Paul Berkman has been the subject of 2 customer complaints that we know about, both of those complaints were filed against his former employer AXA Advisors, LLC in the last 2 years to recover investment losses.  Both of those complaints were recently denied by his former employer, and to date, the customers have not taken any further action.

Allegations Against Paul Berkman

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

  • The client alleges that the sale of variable insurance policy was an unsuitable investment recommendation.
  • The client alleges that the sale of Real Estate Investment Trust was an unsuitable investment recommendation.

Paul Berkman Red Flags & Your Rights as An Investor

Of course, Paul Berkmandid 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 Paul Berkmanat Ameriprise Financial Services, LLC and AXA Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether Paul Berkmanhas engaged in any stockbroker misconduct that may have caused them investment losses.

A large number of customer complaints at AXA Advisors, LLC about Paul Berkman in a short period also raises questions about its 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, LLC And AXA Advisors, LLC

If you have questions about Ameriprise Financial Services, LLC, and AXA Advisors, LLC and/or Paul Berkman 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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