David Kenneth Rubenstein (David Rubenstein) Fired by Wells Fargo Advisors, LLC and Permitted to Resign from Ameriprise Financial Services, Inc. - Goodman & Nekvasil P.A., May Recover Investor Losses

David Kenneth Rubenstein (David Rubenstein) Fired by Wells Fargo Advisors, LLC and Permitted to Resign from Ameriprise Financial Services, Inc. - Goodman & Nekvasil P.A., May Recover Investor Losses

From 2015 until David Rubenstein’s firing in 2016, David Rubenstein was licensed with Wells Fargo Advisors, LLC. David Rubenstein was previously licensed with Ameriprise Financial Services, Inc. David Rubenstein is now licensed with L.M. Kohn & Company. According to FINRA’s records, David Rubenstein was fired by Wells Fargo Advisors, LLC on April 11, 2016. Wells Fargo Advisors, LLC reported to FINRA that David Rubenstein was discharged after discussions with David Rubenstein relating to a review conducted at David Rubenstein’s prior employer.

Prior to David Rubenstein’s firing by Wells Fargo Advisors, LLC, FINRA reports that David Rubenstein was permitted to resign from Ameriprise Financial Services, Inc. on July 29, 2015. Ameriprise Financial Services, Inc. reported to FINRA that David Rubenstein resigned while under review for violation of company policy related to unauthorized use of discretion.

If you lost any money on investments with David Rubenstein, you may be able to recover your losses from Wells Fargo Advisors, LLC, Ameriprise Financial Services, Inc. and/or L.M. Kohn & Company. This is because Wells Fargo Advisors, LLC, Ameriprise Financial Services, Inc. and L.M. Kohn & Company had a duty to supervise David Rubenstein.

If you lost money on investments with David Rubenstein and believe that 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 Wells Fargo Advisors, LLC, Ameriprise Financial Services, Inc. and/or L.M. Kohn & Company concerning David Rubenstein’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 $300 million on behalf of victimized investors. If you lost money on investments with David Rubenstein 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.   

 

Keywords: FINRA, David Kenneth Rubenstein, David Rubenstein, Wells Fargo, Ameriprise Financial, SEC, Fraud, Attorney, Broker, Brokerage, Firm, Brokerage Firm, Invest, Lawyer, Securities Lawyer, Goodman and Nekvasil, Nekvasil, Goodman, Investor, Investment, Financial, Financial Services, Securities 

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