Ameriprise Terminates Broker Amid Trading Investigation
Ryan Jeffrey Beal of Columbus Ohio a stockbroker formerly registered with Ameriprise Financial Services Inc. has been terminated on August 22, 2017 amid the firm’s investigation into Beal’s possible unauthorized trading in customers’ accounts.
FINRA Public Disclosure additionally reveals that on November 13, 2006, a customer initiated investment related complaint regarding Beal’s conduct was settled for $8,298.16 in damages based upon allegations that the customer was placed into a variable universal life insurance policy which failed to conform to the customer’s objectives and financial goals.
Beal’s employment with Ameriprise Financial Services Inc. was terminated on September 5, 2017.
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