Erez Law is currently investigating former Ameriprise Financial Services, LLC broker Paul Barker (CRD# 1931625) regarding misappropriation. He was registered with Ameriprise Financial Services, LLC, in Irvine, California, from 2022 to 2024, and Wells Fargo Clearing Services, LLC, in Huntington Beach, California, from 2015 to 2022.
Paul Barker Customer Complaints
He has been the subject of three customer complaints between 2005 and 2025, two of which were denied, according to his CRD report:
April 2025. “The Executor for the estate of the deceased alleged that the deceased client’s advisor took advantage of his fiduciary role by becoming the Attorney-in-Fact (AIF), primary caregiver and added his name and address on the deceased client’s bank accounts. The advisor then allegedly misappropriated client assets.” The customer is seeking $402,100 in damages, and the case is currently pending.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Ameriprise Financial Services, LLC may be liable for investment or other losses suffered by Paul Barker’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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