Securities Lawyers Blog
The law offices of Gana Weinstein LLP are currently investigating claims that Broker Cathie Joughin (Joughin) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Joughin was employed by Ameriprise Financial Services, LLC at the time of the activity. If you have been a victim of Joughin’s alleged misconduct our firm may be able to assist you in recovering funds.
FINRA BrokerCheck shows a settled customer complaint on March 30, 2023.
Claimant alleges that on or about late 2019 and early 2020, his father fell victim to elder abuse and misappropriation by his Financial Advisor (FA).