Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Murray Petersen (Petersen), previously associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Petersen 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 $99,999.00 on April 15, 2024.
Claimant alleges fraud and breach of duty related to the sale of diamonds representative sold to claimant via an outside business activity.