Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Orin Green (Green), previously associated with Ameriprise Financial Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Green 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 $23,804.00 on April 13, 2020.
Client alleges that an investment (Catalyst/Warrington Strategic Program Fund ) was not in the client’s best interest due to its risk and costs.