Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Boris Niko (Niko), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Niko recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on June 15, 2023.
Claimant alleges in 2020, her Financial Advisor (FA) continually made unsuitable investments which were high risk and did not meet Claimant’s investment needs.