Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Allex (Allex), previously associated with Ameriprise Financial Services, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Allex 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 $100,000.00 on June 18, 2021.
Claimant alleges former registered representative recommended unsuitable investments.