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Sarah Reznick Involved in an Investor Dispute

Sarah Reznick (CRD #: 5578606), a broker registered with Ameriprise Financial Services, is the subject of an investor dispute. This is according to her BrokerCheck record, accessed on December 7, 2023. Investors should know that this is the second investor dispute on her record. 

On September 15, 2023, an investor alleged that Sarah Reznick failed to communicate that securities transactions would result in the total liquidation of assets, resulting in capital gains. The securities transactions were allegedly done in the name of diversification. 

The dispute was denied by the firm, but investors should know that firms can deny disputes without any external review. Our securities attorneys can still recover losses following a denial via FINRA arbitration

FINRA Rule 2020 – Omission of Material Facts

FINRA Rule 2020 prohibits the misrepresentation of investments and omission of material facts. Material facts include information about capital gains tax. 

Background Information 

Sarah Reznick 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 

She is a registered broker in 34 states and D.C. She is also a registered investment adviser in California and Texas. 

During her 15 years of experience, she has registered with the following firms: 

  • Ameriprise Financial Services (CRD #: 6363) 
  • Edward Jones (CRD #: 250) 
  • Merrill Lynch (CRD #: 7691) 
  • Wells Fargo Advisors (CRD #: 19616) 

Kurta Law Can Help 

If you have worked with Sarah Reznick and 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.