Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Clarence Row (Row), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Row recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on March 12, 2020.
The client alleged the advisor failed to apply 10% trailing stop orders on all eligible positions in his accounts as instructed on January 9, 2020.