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Steven Jacobson Formerly With Ameriprise Financial Services Has 3 Customer Complaints For Alleged Broker Misconduct

Who is Steven Jacobson formerly with Ameriprise Financial Services?

Steven Jacobson (CRD #2291673) who was formerly registered with Ameriprise Financial Services and located in New Orleans, Louisiana is a subject of one of our many securities industry sales practice abuse investigations.

Steven Jacobson Customer Complaints

Steven Jacobson has been the subject of 3 customer complaints that we know about. One of Steven Jacobson’s customers’ complaints was denied and, to date, the customer has not taken any further action. There are currently two pending customer complaints filed against Ameriprise Financial Services and Raymond James Associates for investment losses caused by Steven Jacobson’s alleged misconduct.

Allegations Against Steven Jacobson

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

  • Steven Jacobson’s alleged wrongful conversion of UTMA funds and breach of fiduciary duty as custodian of those accounts.
  • Steven Jacobson’s alleged Breach of Fiduciary Duty, Misrepresentation and Non-Disclosure, Negligence and Gross Negligence, Breach of Contract and Warranties, Violation of LA Rev Stat § 51:701 (Louisiana Securities Law), Negligent Failure to Supervise, Control Person Liability, Respondent Superior Liability.
  • SEC file #ARO-00067918: regulatory inquiry from the SEC was received by Morgan Keegan. Written complaint from client to the SEC alleged Steven Jacobson’s misrepresentation with regard to a Jefferson County ARS purchase.

Steven Jacobson Red Flags & Your Rights As An Investor

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

If you have questions about Ameriprise Financial Services and/or Steven Jacobson 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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