Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anida Venniro (Venniro), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one tax lien, alleging that Venniro recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on September 20, 2024.
Without admitting or denying the findings, Venniro consented to the sanctions and to the entry of findings that she engaged in an OBA without providing prior written notice to her member firm. The findings stated that Venniro provided property management and commercial real-estate related services to two firm customers, with the reasonable expectation of receiving compensation for such services. This activity was outside the scope of Venniro’s relationship with her firm.
