Dixon was terminated from his member firm based on allegations of violating firm policies regarding use of non-genuine client signatures. William “Bill” Dixon (CRD: 68881)[...]
Securities America
Securities America is a subsidiary of Ameriprise Financial. Founded in 1984, the firm is headquartered in Omaha Nebraska and employs more than 1,800 licensed brokers and advisors. They operate nationwide. Their brokers manage more than $36 billion for over 300,000 clients. The full-service financial management firm offers advising, insurance, investment, and general wealth management services. Financial service companies and their brokers are trusted with sensitive information about their clients. Because of this, there is a risk for misconduct, mismanagement, and fraud. Securities America has been involved in several lawsuits of this nature. To learn the specifics, browse the articles below.
The customer also alleged Proctor of misrepresentation and breach of fiduciary duty. Tamber King Proctor (CRD#: 4316378) was previously registered as a broker with Securities[...]
Ronald Roach has been accused of having a role in a Ponzi scheme that defrauded investors of about $1 billion. The Sonn Law Group is[...]
What current and prospective clients should know about complaints and regulatory actions against Securities America Inc. Based in La Vista, Nebraska, Securities America Inc. (CRD#:[...]
A December 13 press release states the SEC has charged ex-Securities America advisor Hector May (CRD#: 323779) for conducting a Ponzi scheme with his daughter,[...]
Michael Dennis Jackson (CRD#: 2784958) is a former broker and financial advisor. From 2009 to 2017, Mr. Jackson was a representative of Securities America. During[...]
Michael Eugene Heath (CRD#: 2708198) is an actively registered FINRA broker. Currently this individual is associated with Infinity Financial Services and he is based in[...]
Serious allegations have been raised that Securities America failed to take action to identify and stop an investment fraud scam that was being run by[...]
Jeffrey A. Laberge (CRD#: 4847129) is a formerly registered securities broker. Mr. Laberge was most recently employed at WFG Investments, Inc. (2009-2013) and Securities America,[...]
Sonn Law Group is investigating claims regarding James A. Rosebrough Jr. (CRD #4355308, Gilbert, Arizona). Rosebrough recently submitted an AWC in which he was assessed[...]