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Tracy Aufleger of Ameriprise Financial Services Has 5 Customer Complaints For Alleged Broker Misconduct

Who is Tracy Aufleger of Ameriprise Financial Services?

Tracy Aufleger (CRD #2317989) who is currently registered with Ameriprise Financial Services and located in Suwanee, Georgia is a subject of one of our many securities industry sales practice abuse investigations.

Tracy Aufleger Customer Complaints

Tracy Aufleger has been the subject of 5 customer complaints that we know about. One of Tracy Aufleger’s 5 customer complaints were settled in favor of investors. Four of Tracy Aufleger’s customers’ complaints were denied and, to date, the customers have not taken any further action.

Allegations Against Tracy Aufleger

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 Tracy Aufleger provided a poor recommendation to purchase a variable annuity, as she did not need an additional income stream in retirement.
  • Clients alleged they requested their CD to be placed in their cash account at maturity, instead it was placed into a uninsured cash sweep account (US Gov Reserve) without their authorization causing them loss and no access to their cash allegedly made by Tracy Aufleger.
  • The client alleged Tracy Aufleger failed to follow specific written instructions regarding his accounts, resulting in losses to his portfolio.
  • The clients alleged that they were not informed of the commissions associated with the investments recommended by Tracy Aufleger. Additionally, the clients claim the recommendation of variable universal life insurance was not appropriate for their financial circumstances.

Tracy Aufleger Red Flags & Your Rights As An Investor

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

If you have questions about Ameriprise Financial Services and/or Tracy Aufleger 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 $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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