Goodman & Nekvasil P.A., May Recover Investor Losses – Geri Ann Delfino (Geri Delfino) a/k/a Geri Gough Suspended from Securities Industry and Fired by Ameriprise Financial Services, Inc.
From 2009 until Geri Delfino’s firing in 2015, Geri Delfino was licensed with Ameriprise Financial Services, Inc. According to FINRA’s records, Geri Delfino was fired by Ameriprise Financial Services, Inc. on October 16, 2015. Ameriprise Financial Services, Inc. reported to FINRA that Geri Delfino was terminated for company policy violations related to the use of discretion in non-discretionary accounts.
Subsequent to Geri Delfino’s firing by Ameriprise Financial Services, Inc. FINRA investigated Geri Delfino and brought a disciplinary action against Geri Delfino. Geri Delfino was suspended from the securities and investment banking industry for 20 days and fined $5,000 on July 11, 2016. FINRA reports that Geri Delfino consented to the sanctions and to the entry of findings that Geri Delfino effected discretionary transactions in the accounts of customers without obtaining prior written authorization from those customers, and without Geri Delfino’s member firm having accepted those accounts as discretionary in writing.
If you lost money on investments with Geri Delfino 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 Geri Delfino’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 Geri Delfino 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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