Securities Lawyers Blog
The law offices of Gana Weinstein LLP are currently investigating claims that Broker Dale Cebert (Cebert) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Cebert was employed by Ameriprise Financial Services, LLC at the time of the activity. If you have been a victim of Cebert’s alleged misconduct our firm may be able to assist you in recovering funds.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $6,547.40 on May 30, 2024.
The client alleged that 200 shares of Apple Stock (AAPL) were sold in her non-qualified SPS Advantage Individual TOD account in December of 2023 without her authorization.
