Daniel Doogs formerly with Ameriprise Financial Services, Barred from Securities Industry
Have you lost money with financial advisor Daniel Doogs of Aurora, Indiana? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, and the Indiana Securities Division against Daniel Doogs. FINRA barred Doogs from the securities industry after he failed to respond to a FINRA investigation, and subsequently, the Indiana Securities Division barred him too for failing to respond to FINRA. FINRA was investigating Doogs regarding allegations that he borrowed and lent money with customers, which generally is against securities rules and regulations.
Daniel Doogs was a financial advisor and registered representative of Ameriprise Financial Services from 1984 to June 2017. He worked at a branch office in Aurora, Indiana. Doogs was also terminated by Ameriprise Financial Services for this conduct.
Brokerage firms like Ameriprise Financial Services have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout Indiana. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Ameriprise Financial Services.
Click to view: Doogs, Daniel Indiana Order
Click to view: Doogs, Daniel BrokerCheck 5.23.18
If you lost money with Daniel Doogs, or Ameriprise Financial Services, please CONTACT US at 720-599-3505 for a free evaluation of your case.
Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.