Publicly available records with the Financial Industry Regulatory Authority (FINRA) indicate that Suwanee, Georgia-based Ameriprise broker Eric Stuckey has customer complaints against him. They include: recommending unsuitable products, misrepresenting material facts, failing to disclose certain risks in recommended investments, placing sub-account assets in unsuitable high-risk funds, concentrating a portfolio in three energy sector investments, employing “inappropriate market timing strategies,” recommending unsuitable investments, and others. These are all against securities laws and internal firm rules and if you lost money because of Eric Stuckey, you may be able to recover your losses on a contingency fee basis by bringing an arbitration claim against Ameriprise. The firm has a duty to reasonably supervise every broker it employs, so they do not violate securities laws. If the firm does not, it may be liable for losses in the FINRA arbitration forum on a contingency fee basis.
Eric Stuckey was previously registered with Royal Alliance Associates in Suwanne, Georgia from February 1996 until March 2009 and Invest Financial Corp in Suwanee from February 2009 until January 2018. He is currently registered with Ameriprise in Suwanee, and has been since January 2018. He has five customer complaints against him, one of which is currently pending, and two judgment/liens, according to his BrokerCheck report with FINRA online.
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