Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John West (West), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that West 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 $96,678.83 on March 26, 2026.
The client and policy owner alleged that her advisor failed to pay the initial premium on her Mutual of Omaha Long-Term Care (LTC) policy by the September 7, 2020, due date, as instructed by the client, letting the policy lapse in October of 2020.