Investor Alleges Rodney Rich Failed to Monitor Annuities

Rodney Rich (CRD #: 714642), a broker registered with Ameriprise Financial Services, was the subject of an investor dispute, according to his BrokerCheck record, accessed on October 30, 2024. If you have questions about his alleged conduct as a broker, keep reading.

Investor Dispute

On August 22, 2024, an investor alleged that Rodney Rich failed to monitor her MetLife Annuity contracts and failed to accurately advise her on her expected income. This dispute was settled for $928,968.03.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of many other rules may also qualify as violations of FINRA Rule 2010.

Background Information

Rodney Rich has passed the following exams:

• Series 65 – Uniform Investment Adviser Law Examination
• Series 63 – Uniform Securities Agent State Law Examination
• Series 6TO – Investment Company Products/Variable Contracts Representative Examination
• SIE – Securities Industry Essentials Examination
• Series 7 – General Securities Representative Examination
• Series 1 – Registered Representative Examination
• Series 26 – Investment Company Products/Variable Contracts Principal Examination

Rodney Rich is a registered broker in ten states and a registered investment adviser in Washington.

He has also worked for the following firms:

• MetLife Securities (CRD#:14251)
• Metropolitan Life Insurance Company (CRD#:4095)
• Ascend Financial Services (CRD#:15296)
• Guardian Investor Services (CRD#:6635)
• ManEquity (CRD#:5249)
• Sentra Securities Corporation (CRD#:10249)
• Monarch Securities (CRD#:2809)

Kurta Law Can Help

If you worked with Rodney Rich and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.