DID RICHARD NOEL TROTTA CAUSE YOU INVESTMENT LOSSES?
About Richard Trotta Of Thurston Springer Financial?
Richard Trotta (CRD #1300940) is extensively experienced in the securities industry, currently affiliated with Thurston Springer Financial and Thurston Springer Advisors in Palm Beach Gardens, Florida, since March 2022. Over his career, Trotta has worked with various firms, demonstrating a broad geographical and professional range, being licensed in 14 U.S. states and territories. He has passed three principal/supervisory exams, three general industry/product exams, and two multi-state securities law exams. His career includes prior registrations with notable firms such as Ameriprise Financial Services and Morgan Stanley.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Richard Trotta Customer Complaints and Reviews
- Customer Dispute (1 Incident)
- Filed: May 28, 2020, at Ameriprise Financial Services, LLC.
- Allegations: A client claimed that the RiverSource RAVA 5 Advantage Variable Annuity purchased in September 2016 was unsuitable, and Trotta executed transactions in her Ameriprise Brokerage account without authorization.
- Outcome: The complaint was denied on July 7, 2020, indicating that after review, the firm found no wrongdoing.
Allegations Against Richard Trotta
- In Customer Dispute:
- Unsuitability: The complaint alleged that Trotta recommended a variable annuity that was unsuitable for the client’s financial needs.
- Unauthorized Transactions: The client also claimed that Trotta executed transactions without her authorization, a serious allegation that touches on issues of trust and regulatory compliance in handling client accounts.
Richard Trotta Red Flags & Your Rights As An Investor
Of course, Richard Trotta did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Richard Trotta at Thurston Springer Financial and Ameriprise Financial Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Richard Trotta has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Thurston Springer Financial and Ameriprise Financial Services, LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Thurston Springer Financial Due To Richard Trotta
If you have questions about Thurston Springer Financial and Ameriprise Financial Services, LLC and/or Richard Trotta and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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