Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Austin Arata (Arata), currently associated with Ameriprise Financial Services, LLC / Kinecta Financial & Insurance Services, has at least one disclosable event. These events include one customer complaint, alleging that Arata recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $340,000.00 on March 11, 2024.
Claimant alleges representative made unauthorized transactions in his accounts in May 2023.