Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Derek Schanhofer (Schanhofer), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Schanhofer 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 $13,786.71 on August 09, 2023.
The client alleged the advisors lack of management of his discretionary account from June 2022-July 2023 has led to missed gains totaling $13,786.71.