Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Kubiak (Kubiak), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kubiak 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 $6,075,978.00 on March 28, 2025.
Claimant alleges she was recommended unsuitable annuities, insurance products and Illiquid real estate investments.