Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samad Kalig (Kalig), previously associated with Ameriprise Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kalig 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 $100,000.00 on June 12, 2023.
Claimant alleges that she was recommended to invest her retirement savings in unsuitable, illiquid and speculative investments including FSIC (FS Investment Corporation) on 12/16/11, FSEP (FS Energy & Power Fund) in 2014, and a RVS Life variable annuity on 12/14/18.