Goodman & Nekvasil P.A, May Recover Investor Losses – Daeil Dave Ro (Daeil Ro) Suspended by the State of Washington and Fired by Ameriprise Financial Services, Inc.
From 2012 until Daeil Ro’s firing in 2016, Daeil Ro was licensed with Ameriprise Financial Services, Inc. According to FINRA’s records, Daeil Ro was fired by Ameriprise Financial Services, Inc. on June 6, 2016. Ameriprise Financial Services, Inc. reported to FINRA that Daeil Ro was fired for violation of company policy related to outside business activities. FINRA also reports that a lawsuit was filed alleging that Daeil Ro recommended that the customer invest in an outside real estate investment as part of an alleged fraudulent investment scheme, and that Daeil Ro embezzled the proceeds. According to FINRA, this lawsuit alleging sales practice violations by Daeil Ro was settled for $2 million.
FINRA reports that, subsequent to Daeil Ro’s firing, the State of Washington brought a disciplinary action against Daeil Ro. Daeil Ro consented to a 5-year suspension from the securities industry. FINRA reports that Daeil Ro also consented to the entry of findings that Daeil Ro convinced a client to invest $2 million in commercial properties in South Korea, and that $320,000 of the $2 million was diverted to purchase a house in Kent for Daeil Ro and his father.
If you lost any money on investments with Daeil Ro, 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 Daeil Ro.
If you lost money on investments with Daeil Ro, 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 Daeil Ro’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.
Our Firm has a unique, unparalleled track record. 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 any investments with Daeil Ro 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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