Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Gill (Gill), previously associated with Ameriprise Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Gill 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 $11,709.00 on July 12, 2021.
The client alleged her advisor(s) recommended she purchase and remain invested in an unsuitable real estate investment trust (REIT) from 2007 to the present.