Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Bauman (Bauman), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bauman 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 $1,409,721.00 on March 31, 2021.
Claimant alleges that he was given negligent investment advice and recommended unsuitable investments resulting in investment losses in excess of $800,000.