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Seongsoo Lee Of Ameriprise Financial Services Has 3 Customer Complaints For Alleged Broker Misconduct

Who is Seongsoo Lee of Ameriprise Financial Services?

Seongsoo Lee (CRD #4544862) who is currently registered with Ameriprise Financial Services and located in San Ramon, California is a subject of one of our many securities industry sales practice abuse investigations.

Seongsoo Lee Customer Complaints

Seongsoo Lee 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 three of Seongsoo Lee’s customer complaints were settled in favor of investors.

Allegations Against Seongsoo Lee

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

  • Clients alleged the two variable universal life policies purchased by Seongsoo Lee were not suitable for their goal of college savings and requested the return of all premiums paid to the policies.
  • The client alleged Seongsoo Lee executed unauthorized mutual fund sell transactions.
  • The client alleged Seongsoo Lee should not have recommended the variable annuity purchased and that she was not aware of the fees and charges.

Seongsoo Lee Red Flags & Your Rights As An Investor

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

If you have questions about Ameriprise Financial Services and/or Seongsoo Lee 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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