Matthew John Ortman (Matthew Ortman) Fired by Ameriprise Financial Services, Inc. and Barred from the Securities Industry– Goodman & Nekvasil P.A., May Recover Investment or Loan Losses

Goodman & Nekvasil P.A., May Recover Investment or Loan Losses - Matthew John Ortman (Matthew Ortman) Fired by Ameriprise Financial Services, Inc. and Barred from the Securities Industry

From 2010 until Matthew Ortman’s firing in 2013, Matthew Ortman was licensed with Ameriprise Financial Services, Inc. Matthew Ortman was previously licensed with Lincoln Financial Advisors Corporation. According to FINRA’s records, Matthew Ortman was fired by Ameriprise Financial Services, Inc. on April 15, 2013. Ameriprise Financial Services, Inc. reported to FINRA that Matthew Ortman was fired for company policy violations related to reusing client signatures.

Subsequent to Matthew Ortman’s firing by Ameriprise Financial Services, Inc., FINRA investigated Matthew Ortman and brought a disciplinary action against Matthew Ortman. Matthew Ortman was barred from the securities and investment banking industry on March 21, 2014. FINRA reports that Matthew Ortman consented to the sanction and to the entry of findings that during the course of a FINRA investigation, FINRA sought testimony from Matthew Ortman concerning the possible falsification of records and failure to timely amend Matthew Ortman’s Form U4 to reflect tax liens and a customer complaint. The findings stated that Matthew Ortman advised FINRA that Matthew Ortman had received the notice, but that Matthew Ortman would not appear for the testimony or appear on any date thereafter. Subsequently, FINRA reports that Matthew Ortman failed to appear for testimony.  

FINRA reports that three complaints and/or arbitration claims involving Matthew Ortman’s conduct with Ameriprise Financial Services, Inc. and/or Lincoln Financial Advisors Corporation were filed, alleging an unpaid promissory note, unsuitable investments, overconcentration, and/or other allegations. These complaints and/or arbitration claims all settled. 

If you lost any money on investments or loans with Matthew Ortman, you may be able to recover your losses from Ameriprise Financial Services, Inc. and/or Lincoln Financial Advisors Corporation. This is because Ameriprise Financial Services, Inc. and Lincoln Financial Advisors Corporation had a duty to supervise Matthew Ortman.

If you lost money on investments or loans with Matthew Ortman and believe the investments or loans 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. and/or Lincoln Financial Advisors Corporation concerning Matthew Ortman’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 or loans with Matthew Ortman 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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