Christopher Phillips (CRD #4761544), a broker and investment adviser registered with RBC Capital Markets, is involved in a customer dispute regarding overconcentration of certain securities, according to his BrokerCheck record, accessed on December 28, 2020. On November 6, 2020, a client alleged that he suffered a net loss of more than 65% of his IRA…

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California-based Ameriprise broker/adviser Cary Kievman is the subject of settled or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Mr. Kievman (CRD# 2804357). Cary Kievman has spent seventeen years in the securities industry and has been registered with Ameriprise Financial Services in Westlake Village, California…

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