BRYANT PAUL WEINTRAUB is currently employed as a Broker and/or Investment Adviser at AMERIPRISE FINANCIAL SERVICES, INC. located at 200 BROADHOLLOW RD, STE 302, MELVILLE, NY, 11747.
BRYANT PAUL WEINTRAUB has worked at AMERIPRISE FINANCIAL SERVICES, INC. since October 05, 2009
Disclosure History
BRYANT PAUL WEINTRAUB has 1 Disclosure Event(s).
Date: June 09, 2010 Category: Regulatory Initiated By: STATE INSURANCE REGULATOR - NEW YORK DEPARTMENT OF INSURANCE Allegations: THE NEW YORK DEPT OF INSUR ALLEGED WEINTRAUB, AS AN OFFICE OF AMERIPRISE ADVISOR SERVICES INC SHOULD HAVE ANSWERED QUESTION 3 OF THE RENEWAL APP "HAVE YOIU OR ANY BUSINESS IN WHICH YOU ARE OR WERE AN OFFICER EVER BEEN INVOLVED IN AN ADMINSTRATIVE PROCEEDING REGARDING ANY PROFESSIONAL OR OCCUPATIONAL LICENSE OR REGISTRATION? AFFIRMATIVELY DUE TO A 5/5/09 FIRM SETTLEMENT WITH FINRA.THIS FALLS UNDER SECTION 2103(A) OF THE INSURANCE LAW. Resolution: STIPULATION SanctionDetails: Sanctions: Civil and Administrative Penalty(ies)/Fine(s) SanctionDetails: Amount: $1,500.00 Broker Comment: MR WEINTRAUB CORRECTLY ANSWERED NO TO THE QUESTIONS WITH REGARD TO HIS PERSONAL RECORD. MR WEINTRAUB HAD NO PERSONAL KNOWLEDGE OF THE FIRM SETTLEMENT WITH FINRA AT THE TIME HE COMPLETED HIS RENEWAL APPLICATION (6/3/09). ADDITIONALLY, AASI PROVIDED THE NY INS DEPT WITH DIRECT NOTICE OF THE FINRA SETTLEMENT AFTER THE SETTLEMENT WAS REACHED.
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