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…
According to BrokerCheck records financial advisor Anthony Salerno (Salerno), employed by Ameriprise Financial Services, Inc. (Ameriprise), has been subject to three customer complaints. According to records kept by The Financial Industry Regulatory Authority (FINRA) Salerno has been accused by a customers of unsuitable investment advice concerning various investment products including…
According to BrokerCheck records kept by the Financial Industry Regulatory Authority (FINRA), broker Clifford Vatter (Vatter) has received six customer complaints. Furthermore, Vatter was terminated in July 2017 from Raymond James & Associates for allegedly engaging in unauthorized trading in one customer’s account. In September 2016, a customer alleged Vatter…
The investment lawyers of Gana Weinstein LLP are investigating claims against John Eglow (Eglow). According to BrokerCheck records, Eglow, who works out of Delray Beach, Florida, has been subject to four customer disputes. In May 2017, a customer alleged she was overcharged for trades. This dispute settled for $48,758. In…