Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kambiz Ghazanfari (Ghazanfari), previously associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Ghazanfari recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on August 21, 2024.
The Claimant alleges that between 2009 and 2018, an advisor associated with the respondent recommended variable annuities that were unsuitable. Claimant further alleges that the advisor made representations that were inaccurate and/or misleading.
