Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker J Alexander (Alexander), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Alexander recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,000.00 on May 19, 2026.
The client alleged the advisor misrepresented, in September 2017 at the time of sale, how an annuity balance would behave upon the client beginning to take withdrawals from the annuity.