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Thomas Stickney Of Ameriprise Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Thomas Stickney of Ameriprise Financial Services?

Thomas Stickney (CRD #2597982) who is currently registered with Ameriprise Financial Services and located in York, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations.

Thomas Stickney Customer Complaints

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

Allegations Against Thomas Stickney

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 he was not informed by Thomas Stickney of the fees, variable nature or length of the surrender charge schedule on the variable annuity purchased.
  • The plan trustee alleged due to Thomas Stickney’s poor advice the 401(k) plan matching contributions exceeded the limit and affected the deductibility of the cash balance plan contributions.

Thomas Stickney Red Flags & Your Rights As An Investor

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

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

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