Thirty-Plus Year Industry Veteran Ameriprise Financial Services, LLC Broker Roy Waugh Accused of Investment Losses

Ameriprise Financial Services Inc.

Were you the victim of investment losses with Ameriprise Financial Services, LLC broker Roy Waugh (CRD# 2130562)? He has been registered with Ameriprise Financial Services, LLC in Lawton, Oklahoma, since 1991. 

Roy Waugh Customer Complaints

He has been the subject of three customer complaints between 2011 and 2022, two of which were denied, according to his CRD report:

October 2022. “Claimant alleges Respondent did not change the beneficiaries as requested by [REDACTED] prior to her death and that Respondent did not pay the proper beneficiaries.” The customer is seeking $300,000 in damages, and the case is currently pending. The complaint is related to a beneficiary change issue.

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 Roy Waugh’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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Author: Jeffrey Erez

The founder of Erez Law, Jeffrey Erez, focuses exclusively on securities arbitration and litigation. Mr. Erez passionately believes in representing aggrieved investors and obtaining justice for his clients through litigation.