Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vincent Dotterweich (Dotterweich), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dotterweich 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 $2,194,871.94 on May 05, 2025.
Plaintiff alleges his advisor assisted Plaintiff’s wife in: opening individual and joint financial accounts in Plaintiff’s name without Plaintiff’s knowledge; preventing Plaintiff from understanding his financial accounts; and withdrawing funds from Plaintiff’s individual and joint accounts without his knowledge.