Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gwendolyn Hayes (Hayes), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one regulatory, alleging that Hayes recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on January 17, 2025.
Without admitting or denying the findings, Hayes consented to the sanction and to the entry of findings that she refused to produce information requested by FINRA in connection with its examination into whether she changed customers’ investment objectives without their consent, mismarked transactions as unsolicited, and accepted trading instructions from unauthorized individuals.
