Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Chabot (Chabot), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chabot 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 $22,419.00 on July 15, 2024.
Client alleged that her advisors failed to reallocate the funds in her Variable Universal Life policy (VUL) as she instructed in August 2023, December 2023 and again in January 2024, resulting in missed gains.