Manish Mukhi With Ameriprise Financial Services, LLC Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years

Who is Manish Mukhi with Ameriprise Financial Services, LLC?

Manish Mukhi (CRD #2759787) who is currently registered with Ameriprise Financial Services, LLC and located in Bethesda, Maryland is a subject of one of our many securities industry sales practice abuse investigations.  

Prior to Ameriprise Financial Services, LLC, Manish Mukhi was associated with 2other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Ameriprise Financial Services, LLC Broker Misconduct

In his career, Manish Mukhi has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last two years to recover investment losses. Both the customer complaints were recently denied by his employer and to date, the customers of not taking any further action.

Allegations Against Manish Mukhi

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

  • The customer alleged that Manish Mukhi failed to follow her instructions regarding a unit investment trust investment.
  • The client alleged that an investment recommendation to invest in RiverSource RAVA Advantage Variable Annuities was an unsuitable investment recommendation.

Manish Mukhi Red Flags & Your Rights as An Investor

Of course, Manish Mukhi 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 Manish Mukhi at Ameriprise Financial Services, LLC alert to review carefully the activity and performance of their accounts and question whether Manish Mukhi has engaged in any stockbroker misconduct that may have caused them investment losses.

A large number of customer complaints at Ameriprise Financial Services, LLC also raises questions about 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, LLC

If you have questions about Ameriprise Financial Services, LLC and/or Manish Mukhi 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.