Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Osgood (Osgood), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Osgood recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $22,000.00 on May 02, 2025.
The client alleged that $150,000 of a First Trust UIT was purchased in March 2025 without his authorization or prior consent. The client also alleged that the UIT was not suitable.