Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Angela Mccarthy (Mccarthy), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mccarthy recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $79,309.00 on September 18, 2020.
McCarthy was a subject of the customers’ complaint against her member firm and other named respondents that asserted the following causes of action: negligence and gross negligence; misrepresentation; omission of material fact; failure to supervise; breach of fiduciary duty; and breach of contract.