Goodman & Nekvasil P.A., May Recover Investor Losses – Angel Manuel Aviles (Angel Aviles) Barred from Securities Industry and Fired by Ameriprise Financial Services, Inc.
From 2005 until Angel Aviles’s firing in 2013, Angel Aviles was licensed with Ameriprise Financial Services, Inc. According to FINRA’s records, Angel Aviles was fired by Ameriprise Financial Services, Inc. on January 24, 2013. Ameriprise Financial Services, Inc. reported to FINRA that the firm concluded that Angel Aviles deposited a client’s check into Angel Aviles’ personal bank account.
Subsequent to Angel Aviles’s firing by Ameriprise Financial Services, Inc., FINRA investigated Angel Aviles and brought a disciplinary action against Angel Aviles. Angel Aviles was permanently barred from the securities and investment banking industry on August 20, 2013. FINRA reports that Angel Aviles failed to respond to FINRA request for information.
FINRA reports that an arbitration claim involving Angel Aviles’s conduct with Ameriprise Financial Services, Inc. was filed, with the claimant alleging that he made personal loans to Angel Aviles and was not repaid. The claimant also alleges that he purchased an ownership interest in both of Angel Aviles’ financial services business, as well as Angel Aviles’ lending business. In addition, the claimant alleges Angel Aviles recommended an unsuitable variable annuity. This arbitration claim was settled for $100,000.
If you lost any money on investments with Angel Aviles, 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 Angel Aviles.
If you lost money on investments with Angel Aviles 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 Angel Aviles’ 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 Angel Aviles 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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