Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kwasi Aggor (Aggor), previously associated with Td Ameritrade, INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Aggor 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 $10,000,000.00 on April 22, 2020.
Claimant alleges that RR misrepresented his qualifications and authority, and made unsuitable recommendations and transactions for Claimants’s accounts, in violation of firm policy.