Goodman & Nekvasil P.A., May Recover Investment or Loan Losses – Nicholas Modesto Disesso (Nicholas Disesso) Fired by Ameriprise Financial Services, Inc.
From 2009 until Nicholas Disesso’s firing in 2016, Nicholas Disesso was licensed with Ameriprise Financial Services, Inc. According to FINRA’s records, Nicholas Disesso was fired by Ameriprise Financial Services, Inc. on February 12, 2016. Ameriprise Financial Services, Inc. reported to FINRA that Nicholas Disesso was discharged for violation of company policy related to borrowing from a client, disclosure of an outside business activity, form U4 updates and code of conduct.
FINRA reports that an arbitration claim involving Nicholas Disesso’s conduct with Ameriprise Financial Services, Inc. was filed, alleging breach of fiduciary duty, fraud and deceit, churning, breach of contract, negligence, negligent supervision, and/or other allegations. This arbitration claim was settled for $225,000. FINRA reports that two complaints and/or arbitration claims involving Nicholas Disesso’s conduct with a prior employer were also settled.
If you lost any money on investments or loans with Nicholas Disesso, 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 Nicholas Disesso.
If you lost money on investments or loans with Nicholas Disesso, 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 Nicholas Disesso’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 or loans with Nicholas Disesso 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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