National investment loss lawyers KlaymanToskes is investigating broker Tracey Smith of Ameriprise Financial Services (CRD #2668443).
According to FINRA BrokerCheck, broker Tracey Smith of Ameriprise Financial Services is facing a pending investor complaint filed in July 2024, alleging she misrepresented the death benefit feature of a RiverSource RAVA 5 Advantage variable annuity, with the customer seeking alleged damages of $488,427.89.
Investors that suffered losses with broker Tracey Smith are encouraged to contact attorney Lawrence L. Klayman, Esq., at 888-997-9956 or by email at investigations@klaymantoskes.com to discuss recovery options. We do not collect attorney’s fees unless we are able to obtain a financial recovery for you.
Tracey Smith, a financial advisor from Mt. Lebanon, Pennsylvania, is facing a complaint from an investor. The complaint alleges that Smith did not properly explain the death benefit feature of a RiverSource RAVA 5 Advantage variable annuity. The investor is seeking to recover damages of $488,427.89.
According to records from the Financial Industry Regulatory Authority (FINRA), Smith works as both a broker and an investment advisor with Ameriprise Financial Services. Smith has 28 years of experience in the financial industry and has worked with Ameriprise Financial Services since 1995 as a broker and since 2003 as an investment advisor. Before working at Ameriprise, she was registered with IDS Life Insurance Company.
As an investor, there are a few signs that you should look out for if you believe you may have a claim against broker Tracey Smith. These signs could potentially indicate misconduct, negligence, or investment fraud. Investors are encourage 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 Tracey Smith, or have concerns regarding your investment portfolio at Ameriprise Financial Services, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation.