John Howard Pemberton (John Pemberton) Formerly Licensed with Ameriprise Financial Services, Inc. Barred from Securities Industry – Goodman & Nekvasil P.A., May Recover Investor Losses

Goodman & Nekvasil P.A., May Recover Investor Losses - John Howard Pemberton (John Pemberton) Formerly Licensed with Ameriprise Financial Services, Inc. Barred from Securities Industry

John Pemberton was licensed with Ameriprise Financial Services, Inc. from 2009 to 2015. John Pemberton was barred from the securities and investment banking industry by the Financial Industry Regulatory Authority (FINRA) on September 6, 2016. FINRA reports that John Pemberton failed to respond to FINRA request for information.

FINRA reports that a complaint involving John Pemberton’s conduct with Ameriprise Financial Services, Inc. was filed, alleging clients were sold an unsuitable and unauthorized variable annuity and were charged excessive commissions and fees. This complaint was settled.  

FINRA also reports that John Pemberton filed for Chapter 7 Bankruptcy in 2013.

If you lost any money on investments with John Pemberton, 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 John Pemberton.

If you lost money on investments with John Pemberton 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 Ameriprise Financial Services, Inc. concerning John Pemberton’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 $170 million on behalf of victimized investors. If you lost money on investments with John Pemberton 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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