Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Duane Heiling (Heiling), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Heiling 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 $12,000.00 on March 18, 2020.
The client alleged the advisor failed to follow instructions to liquidate mutual fund security positions in his account(s) in March 2020.