Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dennis Charleton (Charleton), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Charleton 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 $90,000.00 on December 23, 2020.
Claimant alleges that he was recommended FSKR, an unsuitable, high-commission, illiquid alternative investment initially purchased at LPL.