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Emma Hahn: Ameriprise Denies $95K Complaint Against Wichita Advisor
Wichita financial advisor Emma Hahn (CRD# 7241667) recently received an investor complaint alleging misconduct stemming from a variable annuity investment. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Ameriprise Financial Services.
Mr. Hahn’s BrokerCheck report discloses one investor complaint. Filed in September 2022, it alleged that as a representative of Ameriprise Financial Services, she failed to follow instructions to move the client’s variable annuities out of the market in August 2022. The complaint alleges damages of $95,126.49 and was denied by the firm.
For reference, a complaint’s denial does not necessarily reflect the groundlessness of the underlying allegations. Rather, it indicates that the recipient firm made such a determination after conducting its own review. Investors whose complaints are denied can still seek the recovery of their losses through other processes, like FINRA arbitration claims.
Investors should be aware that FINRA Rule 2010 requires brokers like Ms. Hahn to “observe high standards of commercial honor and just and equitable principles of trade.” A number of types of unethical conduct, including the failure to follow a client’s instructions, may be considered violations of Rule 2010, provided the activities in question take place “in the conduct of [the member’s] business.” Representatives who violate FINRA Rule 2010 may be found liable in the event of losses in the customer’s account.
According to the Financial Industry Regulatory Authority, Emma Hahn holds two years of securities industry experience. Based in Wichita, Kansas, she has been a broker and an investment advisor with Ameriprise Financial Services since 2020. She has no previous registrations. Her credentials include the passage of four securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the General Securities Representative Examination, or Series 7TO; the Uniform Investment Adviser Law Examination, or Series 65; and the Uniform Securities Agent State Law Examination, or Series 63. She is licensed in Colorado, Florida, Georgia, Kansas, Minnesota, Missouri, and Texas. (Information current as of December 15, 2022.)
Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.