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Eric Dupre Terminated by Ameriprise Financial Services

Eric Dupre (CRD #: 2174456) has been fired by Ameriprise Financial Services. This termination disclosure appears on his BrokerCheck record, accessed on February 9, 2024. Keep reading for more information. 

Termination by Ameriprise Financial Services

On December 26, 2023, Ameriprise Financial Services fired Eric Dupre following allegations that he violated firm policy related to borrowing from clients. 

FINRA Rule 3240

Brokers are only allowed to borrow money from clients under limited circumstances. FINRA Rule 3240 states that brokers may borrow from or lend to clients if those clients are immediate family members. 

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of FINRA 3240 also violate FINRA Rule 2010. 

Background Information 

Eric Dupre has passed the following exams:

  • Series 65 Uniform Investment Adviser Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 3 National Commodity Futures Examination 
  • Series 7 General Securities Representative Examination 

During his 26 years of experience, he has registered with six firms besides Ameriprise Financial Services: 

  • Raymond James (CRD #: 6363) 
  • Berthel, Fisher & Company Financial Services (CRD #: 13609) 
  • UBS Painewebber (CRD #: 1287) 
  • J.C. Bradford & Co. (CRD #: 1287) 
  • Aegon USA Securities (CRD #: 13302) 
  • Rauscher Pierce Refsnes (CRD #: 6663) 

Kurta Law Can Help 

If you have worked with Eric Dupre and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.