Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shannon Anderson (Anderson), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Anderson 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 $17,247.08 on August 01, 2025.
The clients alleged that the recommendation to purchase their non-qualified RiverSource Variable Universal Life Insurance policies was unsuitable in June 2023 based on the client’s goals and needs.