Maria Tamburro, Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses | Maria Tamburro, Financial Advisor Barred from Securities Industry
Maria Tamburro was a formerly licensed financial advisor with Ameriprise Financial Services, Inc. from 2011 to 2016. FINRA reports that Maria Tamburro was barred from the securities industry on May 29, 2018. Ameriprise Financial Services, Inc. reported to FINRA that Maria Tamburro consented to the sanction and to the entry of findings that Maria Tamburro executed mutual fund purchases in the accounts of the customers without contacting the affected customers. The total principal amount of Maria Tamburro's unauthorized trades was approximately $260,000. The customers were charged $7,549 in commission for the unauthorized trades. The firm reversed all of the unauthorized transactions and reimbursed each of the affected customers. The findings also stated that Tamburro failed to timely respond to FINRA requests for documents and information in connection with its investigation into unauthorized trading by her.
If you lost any money on investments with Maria Tamburro, you may be able to recover your losses from Ameriprise Financial Services, Inc. This is because Ameriprise Financial Services, Inc. had a duty to supervise Maria Tamburro.
If you lost money on investments with Maria Tamburro and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against Ameriprise Financial Services, Inc. concerning Maria Tamburro’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Maria Tamburro and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
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