{"id":3010,"date":"2015-06-15T00:00:00","date_gmt":"2015-06-15T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/joel-blum-ameriprise-finra-arbitration-complaint\/"},"modified":"2018-10-08T12:39:16","modified_gmt":"2018-10-08T16:39:16","slug":"joel-blum-ameriprise-finra-arbitration-complaint","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/joel-blum-ameriprise-finra-arbitration-complaint\/","title":{"rendered":"Ameriprise Broker Joel Blum Suspended by FINRA for Unauthorized Trading"},"content":{"rendered":"

Joel Blum, currently with Ameriprise Financial Services<\/a>, was suspended by FINRA for 20 days for a dispute occurring when he was a broker at Merrill Lynch.\u00a0 FINRA found that he executed discretionary transactions in customers\u2019 accounts without written authorization<\/a>.\u00a0 In addition, it was found that he marked the order tickets for these transactions as unsolicited; when in fact they were solicited.\u00a0\u00a0 He was also fined $10,000.00 by FINRA.\u00a0 Blum worked at Merrill Lynch from May 2008 until February 2014.<\/p>\n

Silver Law Group<\/a> represents investors in securities and investment fraud<\/a> cases.\u00a0 Our lawyers are admitted to practice in New York and Florida and represent investors nationwide to help recover investment losses due to stockbroker misconduct<\/a>.\u00a0 If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.<\/p>\n","protected":false},"excerpt":{"rendered":"

Joel Blum, currently with Ameriprise Financial Services, was suspended by FINRA for 20 days for a dispute occurring when he was a broker at Merrill Lynch.\u00a0 FINRA found that he executed discretionary transactions in customers\u2019 accounts without written authorization.\u00a0 In addition, it was found that he marked the order tickets for these transactions as unsolicited; […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[580],"tags":[108],"class_list":["post-3010","post","type-post","status-publish","format-standard","hentry","category-stockbroker-misconduct","tag-ameriprise-financial-services"],"yoast_head":"\nDid You Invest with Joel Blum? - Silver Law Group<\/title>\n<meta name=\"description\" content=\"If you have questions about how your account was handled by broker Joel Blum, call Silver Law Group today to speak to an experienced securities attorney\" \/>\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\/joel-blum-ameriprise-finra-arbitration-complaint\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Did You Invest with Joel Blum? 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