Sean Refsnider: License Revoked Following FINRA Bar
Sean Refsnider (CRD #: 4762963), a barred broker, has a new regulatory action on his record, according to his BrokerCheck record, accessed on September 1, 2021. He was most recently registered as a broker with Ameriprise Financial Services.
On August 4, 2021, the New Jersey Bureau of Securities revoked Sean Refsnider’s investment adviser registration. The regulator alleged that Sean Refsnider engaged in dishonest or unethical practices during the course of securities business.
On April 28, 2020, FINRA barred Sean Refsnider following allegations that he failed to provide information related to their investigation into his alleged misappropriation of investor funds. According to FINRA, Sean Refsnider misappropriated $42,000 from an elderly customer for his personal use. Sean Refsnider allegedly connected his customer’s securities accounts to a debit card issued by his firm. He also allegedly stopped paper mail delivery of her account statements, arranging to have statements sent by e-delivery. FINRA alleges that Sean Refsnider knew his customer would not be able to access her statements online. You can read a copy of the bar here.
On August 20, 2019, Ameriprise fired Sean Refsnider following allegations that he misappropriated investor funds.
Sean Refsnider Background Information
Sean Refsnider has passed the following exams:
- Series 66 Uniform Combined State Law Examination
- Securities Uniform Combined State Law Examination
- Series 7 General Securities Representative Examination
Sean Refsnider has registered with the following firms:
- Ameriprise Financial Services (CRD #: 6363)
- IDS Life Insurance Company (CRD #: 6321)
Kurta Law Can Help
If you worked with Sean Refsnider and you have concerns about your investments, contact Kurta Law today. Call 877-600-0098 or email firstname.lastname@example.org.