Articles Tagged with Ameriprise Advisor Services

Stoltmann Law Offices is investigating Jeffrey Ostrander, a Kansas-based Raymond James financial adviser. Ostrander is accused of misrepresenting material facts, making unsuitable investment recommendations, omitting material facts related to investments and making unsuitable investment recommendations. All of these are against securities rules and regulations. Ostrander’s former firm, Raymond James, can be held responsible for investment losses because of failing to reasonably supervise him. The firm can be sued in the Financial Industry Regulatory Authority (FINRA) arbitration forum.

Ostrander was registered with The Stuart-James Company Inc., Dean Witter Reynolds Inc., Painewebber Inc., Boatmen’s Investment Services, Piper Jaffray Inc., Invest Financial Corp, SII Investments, and Ameriprise Advisor Services in Overland Park, Kansas from May 2005 until March 2016. He is currently registered with Raymond James Financial Services in Overland Park, Kansas and has been since February 2016. He has three customer disputes against him. Please call our securities law offices today to speak to an attorney about your options of suing Raymond James in the FINRA arbitration forum on a contingency fee basis to recover money losses. 312-332-4200.

Stoltmann Law Offices is investigating Mark Andrew Bullivant, a former broker with Raymond James & Associates. Bullivant was recently barred by the Financial Industry Regulatory Authority (FINRA) from associating with any member firm in any capacity. Bullivant refused to appear for a FINRA-requested on-the-record (OTR) testimony involving an investigation into whether he converted customer funds. Mark Andrew Bullivant was registered with Morgan Stanley in Purchase, New York from October 2001 until April 2005, Chase Investment Services Corp in Chicago, Illinois from July 2005 until July 2005, Ameriprise Advisor Services in Fort Meyers, Florida from July 2005 until April 2012 and Raymond James & Associates in Ft. Meyers from April 2012 until December 2013. He has two customer disputes against him. He is not licensed within the industry and FINRA permanently barred him from acting as a broker or otherwise associating with firms that sell securities to the public. If you invested money with Mark Andrew Bullivant, his former firm, Raymond James, can be held liable for not adequately supervising him. We are a securities law office based in Chicago, Illinois and we sue firms such as Raymond James in the FINRA arbitration forum for not properly supervising their brokers. Our number is 312-332-4200 and the call is free.

Mark-Bullivant-FINRA-AWC

The Financial Industry Regulatory Authority (FINRA) recently barred Mark A. Bullivant from the securities industry after he allegedly failed to respond to the investigation against him. FINRA was investigating him for stealing funds from clients and converting that money. Bullivant was a registered representative with Morgan Stanley in Purchase, New York from October 2001 until April 2005, Chase Investment Services in Chicago, Illinois from July 2005 until July 2005, Ameriprise Advisor Services in Fort Myers, Florida from July 2005 until October 2009, and Raymond James & Associates, also in Ft. Myers from April 2012 until December 2013. He has two customer disputes against him, and has been permanently barred from the industry. You may sue Raymond James & Associates, his former firm, for investment losses you may have suffered with Mark A. Bullivant. They had a duty to reasonably supervise him while he worked for them. 312-332-4200.

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