FINRA

Respondent Hunt failed to respond to FINRA request for information.

Letter

Bar (Permanent)

All capacities

Indefinite

12/11/2017

Pursuant to FINRA Rule 9552(h) and in accordance with FINRA's Notice of Suspension and Suspension from Association letters dated September 7, 2017 and October 3, 2017, respectively, on December 11, 2017, Hunt is barred from association with any FINRA member in any capacity. Respondent failed to request termination of his suspension within three months of the date of the Notice of Suspension; therefore, he is automatically barred from association with any FINRA member in any capacity.

Ameriprise Financial Services, Inc

Discharged

Registered representative was discharged for violation of company policy related to discretionary trading in non-discretionary accounts.

CLIENTS ALLEGE THAT FINANCIAL ADVISOR KNEW OR SHOULD HAVE KNOWN THAT A FORMER BRANCH MANAGER, WHOM THE FINANCIAL ADVISOR DID NOT SUPERVISE, CONVERTED FOR HIS OWN USE CLIENT FUNDS INTENDED TO BE INVESTED IN UNDERVALUED CALIFORNIA REAL ESTATE. ALLEGED COMBINED DAMAGES IS $2.4 MILLION.

$2,400,000.00

$1,043,000.00

UNSUITABILITY,MISREPRESENTATION,NEGLIGENT ADVICE/SUPERVISION,VIOLATION OF NFA COMPLIANCE RULES 2-2,2-4,2-8,2-29 AND 2-30,BREACH OF FIDUCIARY DUTY, UNAUTHORIZED TRADING,FAILURE TO TIMELY EXECUTE TRADES.

$213,000.00

$14,635.32

THE NFA PANEL AWARDED CLAIMANT $14,635.32 (INCLUDING REIMBURSEMENT OF $1,500.00 COST PAID AND INTEREST FROM AUGUST 8,1996). CONTACT: [BROKER DEALER CONTACT PERSON] AT 212-816-7294 FOR FURTHER INFORMATION AT SMITH BARNEY,INC. PANEL FOUND FOR ONLY ONE OF THE ALLEGATIONS. IT RELATED TO TIME STOPPING ORDERS IN REFERENCE TO ONE INCIDENCE OF FAILURE TO EXECUTE A TRADE TIMELY ON 8/6/96. ALL OTHER ALLEGATIONS WERE DISMISSED.