10.0David P Neuman
(720) 599-3505

WARNING! Impending Investigation–BART J. ELLIS and AMERIPRISE FINANCIAL SERVICES

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11
Mar

WARNING! Impending Investigation–BART J. ELLIS and AMERIPRISE FINANCIAL SERVICES

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Bart J. Ellis and Ameriprise Financial Services

Have you lost money with financial advisor Bart J. Ellis of the Chicagoland area?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Bart Ellis.  Ellis was barred from the securities industry after failing to respond to a FINRA investigation regarding unauthorized trades made in customers’ accounts.  FINRA alleged that Bart Ellis routinely made unauthorized trades in at least one customer’s accounts between June 2009 and August 2012.  Ellis was also alleged to have created fake entries in his telephone log in order to cover up his conduct and make it appear that he had received permission from the customer to make the trades at issue.

Bart J. Ellis was a financial advisor and registered representative of Ameriprise Financial Services from November 2007 to October 2012.  Ellis worked in branch offices in Chicago and Orland Park, Illinois.  He has numerous customer complaints on his record, and his BrokerCheck also discloses an April 2012 bankruptcy and a July 2011 judgment of over $213,000.

Brokerage firms like Ameriprise Financial Services have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms like Ameriprise 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.

Our attorneys have represented over one thousand investors who have been defrauded by their financial advisor or stockbroker throughout the country.  While we have offices in Denver and the Seattle area, we have also previously represented numerous clients throughout the Chicago area, and both of our attorneys are licensed to practice law in Illinois.  If you have lost money with Bart J. Ellis or Ameriprise Financial Services and want to hear about ALL legal options, please visit https://www.israelsneuman.com and go to our CONTACT page or call us at 720-599-3505.

Click to view FINRA AWC:  Ellis FINRA AWC

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.
10.0David P Neuman

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