Former Ameriprise Broker James Knee Barred by FINRA
Stoltmann Law Offices is investigating former Ameriprise and Voya broker James Knee. Knee was being investigated by the Financial Industry Regulatory Authority (FINRA) for misappropriating customer funds while registered with the firms. This is against securities laws and internal firm rules. A brokerage firm such as Ameriprise or Voya must reasonably supervise its brokers in…