Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Beck (Beck), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Beck recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $149,476.40 on March 06, 2024.
Claimant alleges that an investment recommendation was unsuitable based upon his investment profile; claimant further alleges that the investment was misrepresented. The investment was made in January 2023.