Securities Arbitration Lawyers BlogFlorida-based Ameriprise Broker Brian T. Perry Under Investigation
Silver Law Group is investigating former Ameriprise Financial Services, Inc. (CRD# 6363) broker Brian T. Perry (CRD# 2874937) after FINRA permanently barred him.
According to Perry’s FINRA BrokerCheck report, FINRA permanently barred Perry in December 2016 from acting as a broker or otherwise associating with firms that sell securities to the public. FINRA barred Perry because he failed to respond to a FINRA inquiry.
Perry’s permanent bar follows a customer complaint in October 2016 alleging Perry made unauthorized trades, failed to follow transaction instructions, and provided poor service which resulted in losses. The claim, according to the BrokerCheck report, was denied.