Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Van dyken (Van dyken), previously associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. These events include one customer complaint, one tax lien, alleging that Van dyken recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on October 08, 2024.
S-24-3751-24-CO01 – Timothy Van Dyken \\u2013Consent Order\, On October 8, 2024, the Securities Division entered a Consent Order with Respondent Timothy Van Dyken (Van Dyken). The Securities Division alleged that Van Dyken, an investment adviser representative and registered representative, engaged in dishonest and unethical practices and violated RCW 21.20.020(c) and WAC 460-24A-200(r). As part of the Consent Order, the Respondent neither admitted nor denied the Securities Division\\u2019s findings of fact and conclusions of law but agreed to cease and desist from violations of the Securities Act of Washington and to waive his right to a hearing and judicial review of this matter.\, \,
