Articles Posted in broker attorney

According to BrokerCheck records financial advisor Michael Pepe (Pepe), currently employed by Ameriprise Financial Services, Inc. (Ameriprise) has been subject to six customer complaints, one criminal matter, and one tax lien in his career.  According to records kept by The Financial Industry Regulatory Authority (FINRA), many of the complaints against…

You’ve gone over your account statements and start to suspect that your broker hasn’t invested your assets appropriately.  What should you do?  The first step is to compile all of your documents and correspondence with your broker.  You should collect your monthly account statements, opening account documents, and any written…