Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roy Waugh (Waugh), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Waugh 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 $300,000.00 on October 24, 2022.
Claimant alleges Respondent did not change the beneficiaries as requested by [REDACTED] prior to her death and that Respondent did not pay the proper beneficiaries.