Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sarah Reznick (Reznick), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Reznick 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 $48,650.00 on May 18, 2021.
The client alleges the financial advisor provided misleading advice and misrepresented the sales charges associated with the purchase of John Hancock Funds in his account in April of 2021.