Did Christine Ann Ringmeier Cause You Investment Losses?
Christine Ann Ringmeier of Two Rivers, Wisconsin submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which she was barred from association with any FINRA member in all capacities. The sanction was based on findings that she allegedly converted a registered representatives funds in violation of FINRA Rule 2010.
In August 2018, Christine Ann Ringmeier joined Ameriprise Financial Services, LLC as an administrative assistant. The firm later filed a Uniform Termination Notice (Form U5), disclosing that she had been terminated due to his alleged misconduct. According to the FINRA findings, Ringmeier wrote and signed 41 checks totaling $44,684.06 to herself from a registered representative for whom she worked, without his knowledge or approval. The findings state that Ringmeier allegedly deposited the checks into her personal bank account and then deleted it from the accounting application to hide the transaction. In addition to the findings, Ringmeier made a journal entry retiring the balance of a debt she owed the business of which she had not actually paid. Although Christine Ann Ringmeier is not currently registered or associated with a FINRA member, she remains subject to FINRA’s jurisdiction.
FINRA Rule 2010 requires associated persons to observe high standards of commercial honor and just and equitable principles of trade. Ann Ringmeier’s conduct, as alleged, constitutes Conversion, and violates FINRA Rule 2010.
Do You Need a Wisconsin FINRA Securities Arbitration Attorney?
Are you a Two Rivers, Wisconsin investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Wisconsin stockbroker or investment advisor transfer assets without your authority to the stockbroker or another party, steal, or otherwise commit theft in your investment account? If so, you will need to have representation from an experienced, highly rated, and nationally recognized FINRA arbitration securities law attorney—an attorney who knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration forgery cases and other complex legal issues.
Free Initial Consultation With Experienced Lawyers Handling Securities Account Theft Cases Serving Two Rivers, Wisconsin Residents in FINRA Arbitrations
At The Law Offices of Robert Wayne Pearce, P.A. we represent investors in all kinds of securities, commodities, and investment law disputes in FINRA, AAA and JAMS arbitration and mediation proceedings. Attorney Pearce and his staff represent investors throughout Wisconsin, and across the United States on a CONTINGENCY FEE basis which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award.
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For dedicated representation by Attorney Pearce with over 40 years of experience and success in all kinds of securities, commodities, and investment law disputes serving Wisconsin citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.