Samuel Lawayne Haddix (Samuel Haddix) Formerly Licensed with Ameriprise Financial Services, Inc. – Goodman & Nekvasil P.A., May Recover Investor Losses

Goodman & Nekvasil P.A., May Recover Investor Losses – Samuel Lawayne Haddix (Samuel Haddix) Formerly Licensed with Ameriprise Financial Services, Inc. 

From 2002 until Samuel Haddix’s resignation in 2017, Samuel Haddix was licensed with Ameriprise Financial Services, Inc. According to FINRA’s records, Samuel Haddix resigned from Ameriprise Financial Services, Inc. on January 13, 2017. Ameriprise Financial Services, Inc. reported to FINRA that Samuel Haddix resigned after being suspended on December 16, 2016 for compliance policy violations related to selling away, business relationships with clients and outside business activities.

FINRA reports that a lawsuit involving Samuel Haddix’s conduct with Ameriprise Financial Services, Inc. was filed, alleging that on or after June 2016, Samuel Haddix opened two bank accounts for them without proper authority. In addition, Plaintiffs allege that they have sustained damages as a result of their former advisor’s actions, including drafting contracts, inducing them to enter into contracts, self-dealing and usurpation of business opportunity. According to FINRA, the Plaintiffs’ causes of action in the lawsuit are breach of fiduciary duty, fraud, conversion, intentional interference with business relations, violations of Tennessee Consumer Protection Act, and punitive damages. This lawsuit is currently pending.

If you lost any money on investments with Samuel Haddix, 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 Samuel Haddix.

If you lost money on investments with Samuel Haddix, 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 Samuel Haddix’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 Samuel Haddix 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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