Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sheree Ziemba (Ziemba), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ziemba 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 $15,143.81 on June 21, 2024.
The client alleged that the advisor did not update the beneficiaries on the RiverSource RAVA 5 Select variable annuity per the client’s instructions.