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Samuel Head Of Ameriprise Financial Services, LLC And Formerly With Voya Financial Advisors, Inc. Has 7 Customer Complaints For Alleged Broker Misconduct

Who is Samuel Head of Ameriprise Financial Services, LLC?

Samuel Head

Samuel Head (CRD #2456312) who is currently registered as a broker and investment adviser with Ameriprise Financial Services, LLC and located in Seneca, South Carolina, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Ameriprise Financial Services, LLC, Samuel Head was associated with Voya Financial Advisors, Inc and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Samuel Head Customer Complaints

Samuel Head has been the subject of 7 customer complaints that we know about to recover investment losses. Five of the customer complaints were settled by Samuel Head’s former employers in favor of the investors. The other 2 customer complaints were denied by the brokerage firms and, to date, the investors have not taken any further action.

Allegations Against Samuel Head

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

  • Unsuitable recommendation of high risk, long-term, illiquid investments.
  • Unsuitable recommendation of subaccounts in variable annuity contract.
  • Investments were unsuitable because they did not protect client’s principal.
  • Failure to follow client’s instructions in allocation within an account.
  • Failure to follow customer’s instructions to liquidate Hartford variable annuity contract.
  • Adviser sold investments that were higher risk than she had wanted.

Samuel Head Red Flags & Your Rights As An Investor

Of course, Samuel Head 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 Samuel Head at Ameriprise Financial Services, LLC and Voya Financial Advisors, Inc. on alert to review carefully the activity and performance of their accounts and question whether Samuel Head 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 Voya Financial Advisors, 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 Samuel Head

If you have questions about Ameriprise Financial Services, LLC, Voya Financial Advisors, Inc and/or Samuel Head 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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