Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ajay Verma (Verma), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Verma recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $125,000.00 on June 27, 2023.
Claimant alleges that in about November 2020, she was improperly recommended she exchange her RVS Life RAVA 4 Advantage Variable Annuity for a RVS Life RAVA 5 Advantage Variable Annuity.