Sean Michael Refsnider (Sean Refsnider) – FINRA Files Complaint Against Financial Advisor/Broker Sean Refsnider | Goodman & Nekvasil, P.A. May Recover Investor Losses
Sean Refsnider was a previously licensed financial advisor/broker with Ameriprise Financial Services, Inc.
According to FINRA Allegations:
From July 2019 through August 2019 (the “Relevant Period”), while associated with Ameriprise Financial Services, Inc. (“Ameriprise” or the “Firm”), Sean Michael Refsnider (“Refsnider”) converted approximately $42,000 from his elderly Firm Customer A.
At the time, Sean Refsnider’s finances were in disarray. So Sean Refsnider procured a check from Customer A in the amount of $20,000 and he then used the funds to pay his mortgage and other personal expenses. Without Customer A’s authorization, Sean Refsnider also had the Firm issue a debit card linked to Customer A’s Ameriprise Account and then used the debit card to make approximately 60 separate purchases totaling approximately $17,317, and to make $4,300 in cash withdrawals. Sean Refsnider also transferred an additional $475 in cash from Customer A’s Ameriprise Account to himself using Venmo and PayPal.
By converting approximately $42,000 in funds belonging to his Firm customer, Sean Refsnider violated FINRA Rules 2150(a) and 2010.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost money on investments with Sean Refsnider 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 concerning Sean Refsnider’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 $180 million on behalf of victimized investors. If you lost money on investments with Sean Refsnider 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.
Some of the information in this blog post was obtained on 5/1/2020 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.
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