Investor Names Samuel Weir in Dispute Alleging Fraud, Unauthorized Charges

Samuel Weir (CRD #: 4578107), a broker registered with Ameriprise Financial Services, was involved in a recent dispute, according to his BrokerCheck record, accessed on May 23, 2022. If you want to know more about Samuel Weir’s conduct as a broker, read on.

Investor Dispute

On February 23, 2022, an investor filed a dispute alleging that Samuel Weir charged her accounts for financial planning services without her authorization, took receipt of account distributions, forged a signature on a check, and deposited that check into her bank account. This dispute was denied by the firm.

Investors should know, however, that firms don’t need to allow an external review before denying a dispute. Investors can still pursue FINRA arbitration after a denial.

FINRA Rule 2010

Many types of fraudulent and unethical behavior violate FINRA Rule 2010, which requires that brokers maintain high standards of commercial honor.

Background Information

Samuel Weir has passed the following exams:

• Series 66 – Uniform Combined State Law Examination
• Series 63 – Uniform Securities Agent State Law Examination
• SIE – Securities Industry Essentials Examination
• Series 7 – General Securities Representative Examination
• Series 6 – Investment Company Products/Variable Contracts Representative Examination

Samuel Weir is a registered broker in 12 states and a registered investment adviser in Mississippi and Texas.

He has also worked for the following firms:

• Edward Jones (CRD#:250)
• UBS Financial Services (CRD#:8174)
• PFS Investments (CRD#:10111)

Kurta Law Can Help

If you worked with Samuel Weir and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and 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.