According to FINRA’s Brokercheck public database, former Granger, IN Ameriprise broker Radcliffe (Cliffe) Daly was suspended by FINRA for the improper sales of the common stock of Sloud, Inc. Daly allegedly sold this Sloud penny-stock by mismarking order tickets as “unsolicited” when in reality the transactions were solicited by him. According to FINRA, Daly made 292 mismarked transactions in Sloud stock for 43 customers.
If you are an individual or institutional investor who has any concerns about any of your investments made with Cliffe Daly or Ameriprise Financial Services, please contact us for a free initial evaluation.