| Read Time: 2 minutes | Ameriprise Financial Services Complaints |


Thomas Glavin Of Ameriprise Financial Services Has 3 Customer Complaints For Alleged Broker Misconduct

Who is Thomas Glavin of Ameriprise Financial Services?

Thomas Glavin (CRD #3248297) who is currently registered with Ameriprise Financial Services and located in Wisconsin Rapids, Wisconsin is a subject of one of our many securities industry sales practice abuse investigations.

Thomas Glavin Customer Complaints

Thomas Glavin 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. One of Thomas Glavin’s 3 customer complaints was settled in favor of investors. Two of Thomas Glavin’s customers’ complaints were denied and, to date, the customers have not taken any further action.

Allegations Against Thomas Glavin

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

  • The client alleged her REIT purchased by Thomas Glavin was unsuitable.
  • The client alleged Thomas Glavin misrepresented the level of risk associated with the Franklin Square KKR Capital Corp II Business Development Company purchased.
  • The consumer alleged Thomas Glavin failed to disclose the fees and penalties associated with changing his investments in his 401k plan held at Hartford.

Thomas Glavin Red Flags & Your Rights As An Investor

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

If you have questions about Ameriprise Financial Services and/or Thomas Glavin 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.

Author Photo

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.

Rate this Post

1 Star2 Stars3 Stars4 Stars5 Stars