Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Horan (Horan), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Horan 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 $13,160.68 on March 03, 2020.
Client alleges purchases in Waitr Holdings (WTHR) were unsuitable, and as a result of the June 12, 2018 and October 2, 2018 purchases she has an unrealized loss of $10,000.00. Client additionally alleges the fee she agreed upon in her signed contract (1.25%) was more than discussed (1.00%)