TOM SHARP Terminated After AMERIPRISE FINANCIAL SERVICES, LLC Allegations – Goodman & Nekvasil, P.A., May Recover Investor Losses
TOM SHARP Terminated After AMERIPRISE FINANCIAL SERVICES, LLC Allegations.
Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your broker.
THOMAS DAVID SHARP (CRD#: 162335), a former broker for AMERIPRISE FINANCIAL SERVICES, LLC in Gold River, CA, was terminated. AMERIPRISE FINANCIAL SERVICES, LLC alleged that Sharp was terminated for violation of Firm policy related to commingling funds.
FINRA subsequently fined Sharp $10,000 and suspended him for forty-five days. According to Sharp’s FINRA AWC, Without admitting or denying the findings, Sharp consented to the sanctions and to the entry of findings that he borrowed $27,500 from one of his customers notwithstanding that doing so was prohibited by his member firm’s WSPs. The findings stated that the customer agreed to provide Sharp with an interest-free loan from a trust account for which Sharp served as the trustee and representative of record. Sharp has since repaid the loan.
TOM SHARP Terminated After AMERIPRISE FINANCIAL SERVICES, LLC Allegations.
Goodman & Nekvasil, P.A., is investigating brokers who may have unsuitably recommended investments to their clients.
St. Petersburg, Florida law firm Goodman & Nekvasil, P.A., has a national practice representing victimized investors. The firm continues to investigate brokerage firms that placed elderly retirees and other conservative investors in unsuitable investments.
Goodman & Nekvasil, P.A., has filed numerous cases against brokerage firms selling high-risk investments and has recovered more than $400 million dollars on behalf of victimized investors.
We allege in these cases that these investment recommendations were unsuitable for our clients in view of their financial situation, needs and investment objectives.
There is no charge for an evaluation of your case. We handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee.
If you incurred losses on your investment and would like your case evaluated by a securities attorney, please contact us.
Some of the information in this blog post was obtained from FINRA on 4/7/25. If you believe this information was reported incorrectly, please contact our firm: 1-800-500-4442.