National investment loss lawyers KlaymanToskes is investigating broker Mitchell Rock (CRD# 1451592) of Ameriprise Financial Services.
According to FINRA BrokerCheck, Mitchell Rock of Ameriprise Financial Services is currently involved in a customer complaint alleging he engaged in a private securities transaction related to shares of Facebank. The investor is seeking to recover $2,000,000 in damages.
Investors that suffered losses with broker Mitchell Rock are encouraged to contact attorney Lawrence L. Klayman, Esq., at 888-997-9956 or by email at investigations@klaymantoskes.com to discuss potential recovery options. We do not collect attorney’s fees unless we are able to obtain a financial recovery for you.
Mitchell Rock, a financial advisor from New York, NY, is currently involved in a customer complaint alleging $2,000,000 in damages in connection with an outside investment. The customer further alleges that Rock engaged in a private securities transaction without providing written notice to his firm about his role in the sale of shares of Facebank to the customer on behalf of John Textor, the issuer. According to FINRA BrokerCheck, Rock is currently registered with Ameriprise Financial Services, and was previously employed with Wells Fargo Clearing Services from August 2016 to December 2020.
As an investor, there are a few signs that you should look out for if you believe you may have a claim against your financial advisor. These signs could potentially indicate misconduct, negligence, or investment fraud. Investors are encouraged to contact our firm immediately if you have experienced any of the following:
Some investors have close relationships with their brokers due to the time and trust built over the course of their investment relationship. However, it is crucial to remember that financial decisions should be based on careful analysis and due diligence rather than solely relying on personal relationships.
Engaging the services of an experienced securities attorney to evaluate your specific circumstances is strongly advised. At KlaymanToskes, our team of experienced securities attorneys has a deep understanding of this complex area of law, allowing us to provide invaluable insight and tailored guidance that directly addresses your individual needs.
If you suffered losses with broker Mitchell Rock, or have concerns regarding your investment portfolio at Ameriprise Financial Services and/or Wells Fargo Clearing Services, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation.