Investigation of Ameriprise Financial Services, LLC Broker Peter Nett
Posted on Tuesday, December 8th, 2020 at 8:18 pm
Were you the victim of Ameriprise Financial Services, LLC broker Peter Nett (CRD# 4506990)? Nett has been registered with Ameriprise Financial Services, LLC in The Woodlands, Texas since 2002.
Nett has been the subject of three customer complaints between 2003 and 2020, according to his CRD report. The most recent complaint is regarding:
January 2020. “The claimants allege that, beginning in 2014, their advisor recommended unsuitable investments including an energy fund and annuities. The claimants further allege that their advisor recommended the investments to generate commissions.” 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 Nett’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If and 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.