Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Drew Peacock (Peacock), previously associated with Ameriprise Financial Services, LLC, has at least 5 disclosable events. These events include 5 customer complaints, alleging that Peacock 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 $132,163.68 on November 12, 2024.
The clients verbally alleged incorrect information was provided by the representative on bond purchases completed in january and february of 2023.
