Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Curran (Curran), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Curran 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 $213,614.15 on December 24, 2025.
The clients alleged the advisor incorrectly sold positions in their NQ Ameriprise Select Separate accounts, as opposed to processing an in-kind transfer as requested, causing significant capital gains in March 2024.