David Turetzky (CRD #: 2954337), a broker registered with Ameriprise Financial Services, is embroiled in a six-figure investor dispute, according to his BrokerCheck record, accessed on January 27, 2021. There are several other disclosures on his record that investors should note.
On December 3, 2020, an investor alleged that Ameriprise and its agents harassed her to convert her commission-based account into a fee-based account. The investor is seeking $500,000; the dispute is pending.
On July 2, 2020, an investor alleged that David Turetzky’s member firm failed to supervise Turetzky’s account management. The dispute is pending.
On August 14, 2020, investors alleged that Turetzky’s member firm failed to supervise his management of accounts from 2011 to 2016. The dispute entered into arbitration and settled for $1,200,000. You can read a copy of the settlement award here.
David Turetzky has passed the Series 65 Uniform Investment Adviser Law Examination, the Series 63 Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination, the Series 3 National Commodity Futures Examination, the Series 31 Futures Managed Funds Examination, Series 7 General Securities Representative Examination, Series 10 General Securities Sales Supervisor – General Module Examination, and the Series 9 General Securities Sales Supervisor – Options Module Examination. He is a registered broker in Arkansas, Massachusetts, New Jersey, Texas, and Utah. Turetzky is also a registered investment adviser in Texas and New Jersey.
David Turetzky has worked at eight firms in the past 22 years:
- Ameriprise Financial Services (CRD #: 6363)
- Liberty Partners Capital Management (CRD #: 131117)
- Liberty Partners Financial Services (CRD #: 130390)
- Morgan Stanley (CRD #: 149777)
- Morgan Stanley & Co (CRD #: 7556)
- First Institutional Securities (CRD #: 23910)
If David Turetzky was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email firstname.lastname@example.org for a free case consultation with a securities attorney.