Stoltmann Law Offices is investigating Mark Wesley, a former registered broker with Ameriprise Financial Services. Ameriprise allowed Wesley to resign alleging that he was under suspicion for compliance policy violations related to unauthorized trading, use of discretion in a non-discretionary account, supervision of staff and responding to supervision. He also allegedly participated in direct participation products (DPPs), oil and gas private placements, variable annuities, non-traded real estate investment trusts (REITs) and other alternative investments. He was also subject to five tax liens totaling millions of dollars.
According to his online Financial Industry Regulatory Authority (FINRA) BrokerCheck report, Wesley was registered with IDS Life Insurance Company in Minneapolis, Minnesota from September 1994 until July 2006, and Ameriprise Financial Services in Independence, Ohio from September 1994 until June 2016. He has six customer disputes against him and is not licensed within the industry. Please call our securities law offices in Chicago if you lost money with Mark Wesley. We may be able to help you recover those losses in the FINAR arbitration forum on a contingency fee basis.