Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Titus (Titus), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Titus 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 $100,000.00 on November 08, 2022.
Claimant was a McDonald’s employee who left the company in November 2020 and claims that, upon his departure, he was entitled to exercise vested stock options. Claimant alleges that defendants had a responsibility to notify him that his stock options had expired. Claimant alleges that Ameriprise breached its fiduciary duty by failing to search for information to inform him of the expiration date of his McDonalds stock options.