Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Nanthrup (Nanthrup), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nanthrup 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 $23,291.10 on November 16, 2021.
The client alleged her advisor did not follow her instructions regarding how a variable annuity purchase was to be funded in July 2020.