Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Aest (Aest), previously associated with Ameriprise Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Aest 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 $200,000.00 on April 29, 2020.
Unsuitable recommendations, failure to supervise and failure to conduct proper due diligence.