Ameriprise Terminates Stockbroker For Unauthorized Trading
Daniel Scott Burges of Southlake Texas a stockbroker formerly employed by Ameriprise Financial Services Inc. has been terminated by the securities broker dealer on July 13, 2019 which was during a time in which he had been internally investigated for effecting trades in customer accounts without authorization in violation of Ameriprise Financial Services’ compliance policy.
FINRA Public Disclosure additionally reveals that Burges is the subject of a dispute from a customer of his prior securities broker employer, Edward Jones. Specifically, a customer filed an investment related complaint concerning Burges’ conduct where the customer requested more than $5,000.00 in damages supported by allegations that mutual fund trades had been placed in the customer’s account by the stockbroker without the customer’s knowledge or consent.
Burges has been registered with B. Riley Wealth Management since July 12, 2019.