Articles Tagged with Paul Barker

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Barker (Barker), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barker recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $402,100.00 on April 10, 2025.

The Executor for the estate of the deceased alleged that the deceased client’s advisor took advantage of his fiduciary role by becoming the Attorney-in-Fact (AIF), primary caregiver and added his name and address on the deceased client’s bank accounts. The advisor then allegedly misappropriated client assets.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Barker (Barker), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barker recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $402,100.00 on April 10, 2025.

The Executor for the estate of the deceased alleged that the deceased client’s advisor took advantage of his fiduciary role by becoming the Attorney-in-Fact (AIF), primary caregiver and added his name and address on the deceased client’s bank accounts. The advisor then allegedly misappropriated client assets.