RedFlags, Allegations and Complaints against BRYANT PAUL WEINTRAUB
Disclosure #1 for BRYANT WEINTRAUB
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- eventDate: 6/9/2010
- Disclosure Type: Regulatory
- Disclosure Resolution: Final
- Disclosure Detail :: DocketNumberFDA:
- DocketNumberAAO:
- Initiated By: STATE INSURANCE REGULATOR – NEW YORK DEPARTMENT OF INSURANCE
- Allegations: THE NEW YORK DEPT OF INSUR ALLEGED WEINTRAUB, AS AN OFFICE OF AMERIPRISE ADVISOR SERVICES INC SHOULD HAVE ANSWERED QUESTION 3 OF THE RENEWAL APP HAVE YOIU OR ANY BUSINESS IN WHICH YOU ARE OR WERE AN OFFICER EVER BEEN INVOLVED IN AN ADMINSTRATIVE PROCEEDING REGARDING ANY PROFESSIONAL OR OCCUPATIONAL LICENSE OR REGISTRATION? AFFIRMATIVELY DUE TO A 5/5/09 FIRM SETTLEMENT WITH FINRA.THIS FALLS UNDER SECTION 2103(A) OF THE INSURANCE LAW.
- Resolution: STIPULATION
- SanctionDetails :: Sanctions: Civil and Administrative Penalty(ies)/Fine(s)
- SanctionDetails :: Amount: $1,500.00
- Broker Comment: MR WEINTRAUB CORRECTLY ANSWERED NO TO THE QUESTIONS WITH REGARD TO HIS PERSONAL RECORD. MR WEINTRAUB HAD NO PERSONAL KNOWLEDGE OF THE FIRM SETTLEMENT WITH FINRA AT THE TIME HE COMPLETED HIS RENEWAL APPLICATION (6/3/09). ADDITIONALLY, AASI PROVIDED THE NY INS DEPT WITH DIRECT NOTICE OF THE FINRA SETTLEMENT AFTER THE SETTLEMENT WAS REACHED.
Should I file a FINRA complaint against brokers like BRYANT PAUL WEINTRAUB?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
Update – 2022.11.15If you have suffered investment losses that may have been caused by BRYANT PAUL WEINTRAUB’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!
Frequently Asked Questions About BRYANT PAUL WEINTRAUB
What is BRYANT WEINTRAUB’s Central Registration Depository (CRD) Number?
Which firm is BRYANT PAUL WEINTRAUB associated with?
AMERIPRISE FINANCIAL SERVICES, LLC
Where is BRYANT WEINTRAUB located?
200 BROADHOLLOW RD, MELVILLE, NY, 11747
Where can I find more details about BRYANT WEINTRAUB’s Investment Firm?
Visit https://brokercheck.finra.org/firm/summary/6363 to read a detailed report for AMERIPRISE FINANCIAL SERVICES, LLC
Are there any disclosures, allegations or complaints filed against BRYANT PAUL WEINTRAUB?
Where can I download a detailed FINRA report for BRYANT WEINTRAUB?
Is it safe to do business with BRYANT PAUL WEINTRAUB?
We’re not sure. Please research BRYANT WEINTRAUB’s disclosures, allegations and complaints before taking a decision
Originally reported on November 16, 2022 @ 12:40 am
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