Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alfred Drouin (Drouin), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Drouin 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 $20,001.75 on November 22, 2024.
The client alleged that requested allocation updates to three (3) of his advisory accounts were not completed when requested on February 22, 2024.
