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Steve Marciniak Of Ameriprise Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Steve Marciniak of Ameriprise Financial Services?

Steve Marciniak (CRD #4154796) who is currently registered with Ameriprise Financial Services and located in Center Valley, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations.

Steve Marciniak has also been the subject of a FINRA investigation which resulted in a 15 day suspension and the $7, 500 fine for allegedly executing trades on behalf of for customers and nondiscretionary accounts prior to receiving the customer’s authorization.

Steve Marciniak Customer Complaints

Steve Marciniak has been the subject of 2 customer complaints that we know about. Both of Steve Marciniak’s customers’ complaints were denied and, to date, the customers have not taken any further action.

Allegations Against Steve Marciniak

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

  • Client alleged the provisions of a variable annuity purchase were misrepresented by Steve Marciniak. Client also alleged fee based managed accounts were opened, and trading activity occurred, without being fully discussed with the client.
  • Client alleged Steve Marciniak delayed processing the estate paperwork and caused damages.

Steve Marciniak Red Flags & Your Rights As An Investor

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

If you have questions about Ameriprise Financial Services and/or Steve Marciniak 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 $160 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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