Randall A. Samson (Randall Samson) Barred from Securities Industry and Resigned from Ameriprise Financial Services, Inc. – Goodman & Nekvasil P.A., May Recover Investor Losses

Goodman & Nekvasil P.A., May Recover Investor Losses - Randall A. Samson (Randall Samson) Barred from Securities Industry and Resigned from Ameriprise Financial Services, Inc. 

From 1996 until Randall Samson’s resignation in 2014, Randall Samson was licensed with Ameriprise Financial Services, Inc. According to FINRA’s records, Randall Samson resigned from Ameriprise Financial Services, Inc. on April 1, 2014. Ameriprise Financial Services, Inc. reported to FINRA that Randall Samson resigned while under internal review for company policy violations related to commingling client funds and code of conduct.

Subsequent to Randall Samson’s resignation from Ameriprise Financial Services, Inc. FINRA investigated Randall Samson and brought a disciplinary action against Randall Samson. Randall Samson was barred from the securities and investment banking industry on December 17, 2014. FINRA reports that Randall Samson consented to the sanction and to the entry of findings that Randall Samson converted $10,000 from the 401(K) account of an employee. The findings stated that without the employee’s knowledge or consent, Randall Samson used Randall Samson’s position as the plan’s trustee to complete a $10,000 distribution from the 401(K) account to Randall Samson’s personal bank account. According to FINRA, Randall Samson used the proceeds to fund payroll and other overhead expenses for Randall Samson’s company. The findings also stated that Randall Samson provided false statements to Randall Samson’s member firm’s compliance staff in connection with an inquiry into the $10,000 distribution. According to FINRA, Randall Samson knew the statements to the Firm were false when Randall Samson made them, but was attempting to conceal Randall Samson’s unauthorized distribution from the employee’s account.

FINRA also reports that 6 complaints and/or arbitration claims were filed involving Randall Samson’s conduct with Ameriprise Financial Services, Inc., alleging breach of fiduciary duty, common law fraud, intentional misrepresentation, fraudulent business practices, violation of the elder abuse and dependent adult civil protection act, failure to adequately disclose risks, and/or unsuitable investments that were high-risk including CNL Lifestyle Properties, Inc. REIT and variable annuities. These 6 complaints and/or arbitration claims all settled.

If you lost any money on investments with Randall Samson, 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 Randall Samson.

If you lost money on investments with Randall Samson 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 Randall Samson’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 Randall Samson 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: Randall Samson, Ameriprise Financial Services, FINRA, 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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