Complaints Against NICHOLAS DISESSO of Ameriprise – Florham Park, NJ
Nicholas Disesso, formerly with Ameriprise Financial Services, Suspended from Securities Industry
Have you lost money with financial advisor Nicholas Disesso of Florham Park, New Jersey? The law firm of Israels & Neuman is investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Nicholas Modesto Disesso. FINRA suspended Disesso from the securities industry after he failed to comply with an arbitration award against him. His former brokerage firm, Ameriprise Financial Services, terminated him after he allegedly borrowed money from a customer.
Nicholas Disesso was a financial advisor and registered representative of Ameriprise Financial Services 2009 to February 2016. He worked at branch offices in Florham Park, New Jersey. Disesso was also the subject of a customer complaint alleging unsuitable investments in Puerto Rican bonds.
Brokerage firms like Ameriprise Financial Services have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Seattle, Washington; Ann Arbor, Michigan; and Denver Colorado. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in New Jersey. Our attorneys have recovered millions of dollars for investors against many brokerage firms in the past, including Ameriprise Financial Services.
Click to view: Disesso, Nicholas Brokercheck 7.16.19
If you lost money with Nicholas Disesso or Ameriprise Financial Services, please CONTACT US at 720-599-3505 for a free evaluation of your case.
Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.