Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roderick Gosa (Gosa), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gosa 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 $18,000.00 on March 31, 2026.
The client alleged that the advisor opened an Ameriprise ONE margin account without their knowledge in May of 1999.