Goodman & Nekvasil P.A., May Recover Investor Losses – Ziv Ohel Fired by Ameriprise Financial Services, Inc. and CFD Investments, Inc.
From 2016 until Ziv Ohel’s firing in 2017, Ziv Ohel was licensed with CFD Investments, Inc. Ziv Ohel was previously licensed with Ameriprise Financial Services, Inc. and Morgan Stanley. According to FINRA’s records, Ziv Ohel was fired by CFD Investments, Inc. on September 6, 2017. CFD Investments, Inc. reported to FINRA that Ziv Ohel was accused of excessive trading, breach of fiduciary duty, and unsuitable transactions. CFD Investments, Inc. reported to FINRA that Ziv Ohel was fired because the firm was unwilling to continue to perform the rigors of heightened supervision with respect to Ziv Ohel, in light of customer complaints, regulatory inquiries and other compliance issues identified.
FINRA also reports that from 2012 until Ziv Ohel’s firing in 2016, Ziv Ohel worked for Ameriprise Financial Services, Inc. Ameriprise Financial Services, Inc. reported to FINRA that Ziv Ohel was fired on October 25, 2016 for policy violations including receiving a loan from and being named in fiduciary capacities for a client of the firm.
FINRA reports that in January 2017, the State of Michigan announced its intention to deny the securities agent registration application of Ziv Ohel, under section 412(1) of the Securities Act, MCL 451.2412(1), because the State of Michigan alleged Ziv Ohel engaged in dishonest or unethical practices within the last 10 years.
FINRA reports that 4 complaints and/or arbitration claims involving Ziv Ohel’s conduct with Ameriprise Financial Services, Inc. and/or a prior employer were filed, alleging excessive trading, breach of fiduciary duty, lack of suitability and/or other allegations. These complaints and/or arbitration claims were all settled.
If you lost any money on investments with Ziv Ohel, you may be able to recover your losses from Ameriprise Financial Services, Inc. and/or CFD Investments, Inc. This is because Ameriprise Financial Services, Inc. and CFD Investments, Inc. had a duty to supervise Ziv Ohel.
If you lost money on investments with Ziv Ohel, 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 CFD Investments, Inc concerning Ziv Ohel’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 Ziv Ohel 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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