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Investor Seeks Over $2 Million in Dispute with Vincent Dotterweich

Vincent Dotterweich (CRD #: 2267494), a broker registered with Ameriprise Financial Services, is involved in an investor dispute, according to his BrokerCheck record, accessed on June 22, 2025. Keep reading if you have questions about his alleged conduct as a broker.

Investor Dispute

On May 5, 2025, an investor alleged that Vincent Dotterweich assisted his wife in opening individual and joint accounts in his name without his knowledge, withdrawing funds from his individual and joint accounts without his consent, and preventing the client from understanding his accounts.

The client seeks $2,194,871.94 in this pending dispute.

FINRA Rule 2010

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

FINRA Rule 2150

FINRA Rule 2150 prohibits the improper use of investors’ funds.

Background Information

Vincent Dotterweich has passed the following exams:

  • General Securities Sales Supervisor – General Module Examination – Series 10
  • General Securities Sales Supervisor – Options Module Examination – Series 9
  • Securities Industry Essentials Examination – SIE
  • General Securities Representative Examination – Series 7
  • Uniform Securities Agent State Law Examination – Series 63

Vincent Dotterweich is a registered broker in 11 states and a registered investment adviser in Florida and Texas.

He has also worked for the following firms:

  • Wells Fargo Advisors (CRD#:19616)
  • Citigroup Global Markets (CRD#:7059)
  • Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691)
  • Gruntal & Company (CRD#:372) 

Kurta Law Can Help

If you worked with Vincent Dotterweich 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 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. 

 

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