Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Connor Day (Day), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Day 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 $20,345.35 on May 17, 2024.
The client alleged 3 stocks were traded in January 2024 that deviated from the agreed upon plan that was made between the advisor and client.