Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Courtwright (Courtwright), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Courtwright 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 $197,292.82 on December 19, 2025.
The client alleged that the investment strategy recommended by the advisor between 2020 and 2025 constituted poor advice.