Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Haddix (Haddix), previously associated with Ameriprise Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Haddix recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on February 08, 2024.
Plaintiff alleges he engaged a former Ameriprise advisor to assist him in growing his small business. He alleges the defendant advisor fraudulently opened two bank accounts without authority. He further alleges the defendant advisor drafted a ‘Purchase Business Agreement’ and solicited investors to invest in plaintiff’s small business for purposes of paying off tax debt. In addition, plaintiff alleges defendant advisor harassed and threatened him to relinquish rights and control in his business.