Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Topper (Topper), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Topper 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 $77,941.00 on December 07, 2020.
Clients allege they did not understand the nature of the fixed indexed annuities they bought and failure to follow investment instructions in April 2020.