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Ralph Freedman is the Subject of a $1.25 Million Dispute

Ralph Freedman (CRD #: 247616), a broker registered with Ameriprise Financial, is the subject of an investor dispute. This is according to his BrokerCheck record. Keep reading if you have questions regarding his alleged conduct. 

Investor Allegations 

On November 15, 2023, an investor alleged that Ralph Freedman recommended that he hold stocks in his portfolio, which allegedly constituted poor advice. The investor is seeking $1,250,000. 

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Poor recommendations may violate this rule. 

Background Information 

Ralph Freedman 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 7 General Securities Representative Examination 
  • Series 10 General Securities Sales Supervisor – General Module Examination 
  • Series 9 General Securities Sales Supervisor – Options Module Examination 
  • Series 8 General Securities Sales Supervisor Examination (Options Module & General Module) 

He is a registered broker in 20 states and is a registered investment adviser in Pennsylvania and Texas. 

During his 29 years of experience, he has registered with three firms: 

  • Ameriprise Financial Services (CRD #: 6363) 
  • Ameriprise Advisor Services (CRD #: 5979) 
  • RSM McGladrey (CRD #: 111221) 

Kurta Law Can Help 

If you have worked with Ralph Freedman and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or info@kurtalawfirm.com 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. 

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