Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bruce Westphal (Westphal), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Westphal 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 $10,832.74 on September 12, 2024.
The client alleged that the advisor informed her that she would continue her 5% increase to the benefit base of her RiverSource Roth IRA annuity, as long as she did not access funds from the annuity during a 2022 meeting.