Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shirley Washam (Washam), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Washam 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 $71,375.65 on April 20, 2020.
Client alleges unauthorized sale of an annuity. Allegation Activity Dates: 3/21/2019 – 4/20/2020.