DID DINESH KUMAR SAWAL CAUSE YOU INVESTMENT LOSSES?
About Dinesh Sawal of Ameriprise Financial Services, LLC?
Dinesh Sawal (CRD #4843258) began securities industry registrations with Ameriprise Financial Services, LLC in October 2004. Despite being in the industry for nearly two decades, Sawal has only passed two general industry/product exams and one multi-state securities law exam. His registrations span across 18 U.S. states and territories, but this extensive licensing does little to mitigate the shadow cast by a recent customer complaint.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Dinesh Sawal Customer Complaints and Reviews
Customer Dispute (1 Incident)
- Date Received: January 15, 2023
- Allegations: The client alleged receiving poor investment advice from 2011 to 2017, specifically related to investments in mutual funds and real estate securities.
- Alleged Damages: $5,000.00
- Outcome: Denied. The complaint was evaluated by the firm, Ameriprise Financial Services, LLC, and it was concluded that there was insufficient basis to support the client’s claims of poor advice leading to financial loss.
Allegations Against Dinesh Sawal
- The primary allegation against Dinesh K. Sawal involves providing substandard investment advice over a prolonged period (2011 to 2017), as cited in a customer dispute. The advice pertained to mutual funds and real estate securities, and the client sought damages of $5,000, reflecting the perceived financial detriment caused by Sawal’s guidance. The dispute was officially denied, with the firm concluding that the claims did not warrant corrective action or compensation.
Dinesh Sawal Red Flags & Your Rights As An Investor
Of course, Dinesh Sawal 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 Dinesh Sawal at Ameriprise Financial Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Dinesh Sawal has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at 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 Ameriprise Financial Services, LLC Due To Dinesh Sawal
If you have questions about Ameriprise Financial Services, LLC and/or Dinesh Sawal 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.
Rate this Post
Loading...