Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jay Slade (Slade), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Slade 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 December 31, 2020.
Client alleges negligence, professional negligence, violations of law, unsuitable recommendations, negligent supervision, breach of contract and breach of fiduciary duty.