{"id":2627,"date":"2017-01-05T00:00:00","date_gmt":"2017-01-05T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/former-ameriprise-broker-accused-of-unauthorized-trading\/"},"modified":"2017-07-27T13:49:03","modified_gmt":"2017-07-27T17:49:03","slug":"former-ameriprise-broker-accused-of-unauthorized-trading","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/former-ameriprise-broker-accused-of-unauthorized-trading\/","title":{"rendered":"Former Wells Fargo Broker Under Investigation After FINRA Suspended Him For to Unauthorized Trading Allegations"},"content":{"rendered":"

Silver Law Group is investigating Ameriprise Financial Services, Inc. (CRD# 19616)<\/a> broker Paul S. Plemenos (CRD# 2193190)<\/a> after FINRA suspended him over unauthorized trading allegations at his former firm.<\/p>\n

According to Plemenos\u2019s FINRA BrokerCheck report, FINRA suspended him in July 2016 for executing trades in the accounts of customers without written authorization from the customers and without having the accounts approved as discretionary accounts by Merrill Lynch, Pierce, Fenner & Smith (CRD# 7691),<\/a> Plemenos\u2019s employing firm at the time.<\/p>\n

FINRA and Plemenos entered into an Acceptance, Waiver & Consent (\u201cAWC\u201d)<\/a> memorializing the suspension.\u00a0 According to the AWC, Plemenos was ordered to pay $7,500 in fines and was suspended 30 days.<\/p>\n

Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

Silver Law Group is investigating Ameriprise Financial Services, Inc. (CRD# 19616) broker Paul S. Plemenos (CRD# 2193190) after FINRA suspended him over unauthorized trading allegations at his former firm. According to Plemenos\u2019s FINRA BrokerCheck report, FINRA suspended him in July 2016 for executing trades in the accounts of customers without written authorization from the customers […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[578],"tags":[],"class_list":["post-2627","post","type-post","status-publish","format-standard","hentry","category-all-releases"],"yoast_head":"\nAllegations Against Former Ameriprise Broker Paul Plemenos; Suspension<\/title>\n<meta name=\"description\" content=\"If you have lost money investing with Paul S. Plemenos and Ameriprise Financial Services, contact our firm to learn how you can try to recover your losses.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/former-ameriprise-broker-accused-of-unauthorized-trading\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Allegations Against Former Ameriprise Broker Paul Plemenos; Suspension\" \/>\n<meta name=\"twitter:description\" content=\"If you have lost money investing with Paul S. Plemenos and Ameriprise Financial Services, contact our firm to learn how you can try to recover your losses.\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Silver Law Group\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"2 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"Allegations Against Former Ameriprise Broker Paul Plemenos; Suspension","description":"If you have lost money investing with Paul S. 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