Goodman & Nekvasil P.A., May Recover Investor Losses – Randall William Hunt (Randy Hunt) Fired by Ameriprise Financial Services, Inc. and Barred from Securities Industry
From 2016 until Randy Hunt’s firing in 2017, Randy Hunt was licensed with Ameriprise Financial Services, Inc. Randy Hunt was previously licensed with Stifel, Nicolaus & Company, Incorporated. According to FINRA’s records, Randy Hunt was fired by Ameriprise Financial Services, Inc. on February 27, 2017. Ameriprise Financial Services, Inc. reported to FINRA that Randy Hunt was discharged for violation of company policy related to discretionary trading in non-discretionary accounts.
Subsequent to Randy Hunt’s firing by Ameriprise Financial Services, Inc., FINRA investigated Randy Hunt and brought a disciplinary action against Randy Hunt. Randy Hunt was barred from the securities and investment banking industry by the Financial Industry Regulatory Authority (FINRA) on December 11, 2017. FINRA reports that Randy Hunt failed to respond to FINRA request for information.
FINRA reports that an arbitration claim was filed involving Randy Hunt’s conduct with a prior employer, alleging Randy Hunt should have known that a former branch manager, whom the financial advisor did not supervise, converted for his own use client funds intended to be invested in undervalued California Real Estate. This arbitration claim was settled for $1,043,000.
If you lost any money on investments with Randy Hunt, you may be able to recover your losses from Ameriprise Financial Services, Inc. and/or Stifel, Nicolaus & Company, Incorporated. This is because Ameriprise Financial Services, Inc. and Stifel, Nicolaus & Company, Incorporated had a duty to supervise Randy Hunt.
If you lost money on investments with Randy Hunt 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 Stifel, Nicolaus & Company, Incorporated concerning Randy Hunt’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 Randy Hunt 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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