Goodman & Nekvasil P.A., May Recover Investor Losses – James Douglas Dickey (James Dickey) Permitted to Resign from Ameriprise Financial Services, Inc.
From 2011 until James Dickey’s resignation in 2014, James Dickey was licensed with Ameriprise Financial Services, Inc. James Dickey was subsequently licensed with with Purshe Kaplan Sterling Investments Sterling Investments. According to FINRA’s records, James Dickey was permitted to resign from Ameriprise Financial Services, Inc. on April 14, 2014. Ameriprise Financial Services, Inc. reported to FINRA that James Dickey was permitted to resign while under review for concerns relating to failure to disclose an outside business activity.
FINRA also reports that James Dickey entered into a compromise with PNC Bank in 2013. FINRA reports that James Dickey settled a $206,443.93 debt for $6,000.
If you lost any money on investments with James Dickey, you may be able to recover your losses from Ameriprise Financial Services, Inc and/or Purshe Kaplan Sterling Investments. This is because Ameriprise Financial Services, Inc. and Purshe Kaplan Sterling Investments had a duty to supervise James Dickey.
If you lost money on investments with James Dickey 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. and/or Purshe Kaplan Sterling Investments concerning James Dickey’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 James Dickey 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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