Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kari Larocco (Larocco), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Larocco 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 $9,700.00 on October 03, 2023.
The client alleged that her advisor failed to liquidate all of her accounts, upon request, on or near to August 31, 2023. One managed account was not liquidated until September 28, 2023.