Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Sundberg (Sundberg), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sundberg 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 $23,000.00 on December 29, 2020.
Claimant alleges that he was recommended an unsuitable, high-commission, high-risk, and speculative alternative investment, FSKR.