Published by RP Legal Group
June 2, 2016
Rikard & Protopapas LLC is investigating claims against former stockbroker and financial advisor, Julie A. Smith(CRD# 2267957) and broker-dealer firm, Ameriprise Financial Services, Inc. Please call us at 803-978-6111 for an evaluation of your claim today.
Julie A. Smith has been working with Ameriprise Financial Services since 2000 and was serving as a financial advisor in West Columbia, South Carolina. According to FINRA’s broker check system she is no longer licensed.
Ameriprise Financial Services is a broker-dealer firm registered with both the Securities Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). Its main office is located in Minneapolis, Minnesota, with firm operations in all fifty states, Puerto Rico and the U.S. Virgin Islands.
According to FINRA, Ameriprise has been a party to 94 reported arbitration proceedings and has received 57 “Regulatory Events.” A regulatory event is generally another term for a customer complaint or in some cases can be civil penalties, fines, or censures against the firm. For a complete list of Ameriprise Financial Services, Inc.’s FINRA violations or arbitration reports, see its Broker Check Report.
If you or someone you know has suffered a financial loss as a result of Julie A. Smith’s financial advice while she was affiliated with Ameriprise Financial Services, Inc., you may be entitled to compensation.
Losing your money in a failed investment can be devastating to your family and your future. You may have a claim to recover for your financial and investment losses.
If you believe that you may have a case, it is important to act quickly in order to file a claim within the statute of limitations. Call today to have your case evaluated.
You deserve to have an attorney that understands your investment loss needs. If you have lost money because of negligence or misconduct by a financial advisor or stock broker, you deserve to recover for those losses. You also deserve a lawyer that understands the process, the litigation, and the seriousness of these issues affecting your personal and professional life.
Please contact Robert G. Rikard at Rikard & Protopapas LLC to have your case evaluated at 803-978-6111.