Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lawrence Margolin (Margolin), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Margolin 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 $100,000.00 on December 07, 2020.
Claimant asserts claims for fraud, breach of fiduciary duty, negligence, gross negligence and breach of contract in connection with allegedly unsuitable investments in annuities and ETFs. From 4/1/2014 to 9/30/2020.