Goodman & Nekvasil P.A., May Recover Investor Losses – Dennis Dewain Hern (Dennis Hern) Fired by Ameriprise Financial Services, Inc. and Barred from Securities Industry
From 2012 until Dennis Hern’s firing in 2016, Dennis Hern was licensed with Ameriprise Financial Services, Inc. Dennis Hern was previously licensed with First Command Financial Planning, Inc. According to FINRA’s records, Dennis Hern was fired by Ameriprise Financial Services, Inc. on May 11, 2016. Ameriprise Financial Services, Inc. reported to FINRA that Dennis Hern was suspended and subsequently terminated for company policy violations related to responding to supervision and borrowing from a client.
Subsequent to Dennis Hern’s firing by Ameriprise Financial Services, Inc., FINRA investigated Dennis Hern and brought a disciplinary action against Dennis Hern. Dennis Hern was barred from the securities and investment banking industry by the Financial Industry Regulatory Authority (FINRA) on January 17, 2017. FINRA reports that Dennis Hern failed to respond to FINRA request for information.
If you lost any money on investments with Dennis Hern, you may be able to recover your losses from Ameriprise Financial Services, Inc. and/or First Command Financial Planning, Inc. This is because Ameriprise Financial Services, Inc. and First Command Financial Planning, Inc. had a duty to supervise Dennis Hern.
If you lost money on investments with Dennis Hern 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. and/or First Command Financial Planning, Inc. concerning Dennis Hern’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 Dennis Hern 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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