Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kalle Ruga (Ruga), currently associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Ruga recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $20,971.43 on June 29, 2021.
Ruga was a subject of the customer’s complaint against his member firm that asserted the following causes of action: breach of fiduciary duty; unsuitable hold recommendations; negligent misrepresentation; misrepresented nature of investment; failure to supervise; and respondeat superior.