The Financial Industry Regulatory Authority (FINRA) licenses and regulates the stock brokerage industry. It requires stock brokerage firms and their stock brokers to be qualified, registered, and approved by the agency before they may offer and sell securities to the public. FINRA also requires its registrants to immediately report regulatory events, such as suspensions, fines, and customer complaints, against the firm and broker. FINRA maintains a database of investor complaints and disciplinary and employment history for registered representatives and publishes some of this information on its BrokerCheck website, brokercheck.finra.org. The FINRA BrokerCheck is purportedly useful for predicting future broker misconduct. Unfortunately, not all customer complaints are accurately or completely reported on the website. We are seeking investors with information about former Ameriprise Financial Services broker Brian T. Perry to determine whether the reported information on the FINRA broker check website is accurate and complete.
FINRA reports that Mr. Perry has been registered in the securities industry since 1997. During that period, the FINRA BrokerCheck report indicates that Mr. Perry has been the subject of three (3) Customer Disputes and two reported Judgment Liens. The brokerage firm denied all three customer complaints and thus far, the customers reportedly have not taken any further action against the firm or Mr. Perry. All three complaints were made in November 2015 and denied two months later. Suspiciously, within weeks of those three denials Mr. Perry's employment at Ameriprise Financial Services terminated.
We believe that Mr. Perry's employer has not accurately or completely reported all of the Customer Disputes involving him and request that all investors with complaints against Amerprise Financial Services and/or Mr. Perry contact our office immediately.
The most important of investors' rights is the right to be informed! We intend to notify FINRA of any and all unreported or inaccurate customer complaints against this firm and/or broker. This blog post is by the Law Offices of Robert Wayne Pearce, P.A., located in Boca Raton, Florida. For over 35 years, Attorney Pearce has tried, arbitrated, and mediated hundreds of disputes involving complex securities, commodities and investment law issues. The lawyers at our law firm are devoted to protecting investors' rights throughout the United States and internationally! Please visit our website, secatty.com, post a comment, call (800) 732-2889, or email Mr. Pearce at firstname.lastname@example.org for answers to any of your questions about this blog post and/or any related matter.