Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kimberly Clark (Clark), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one tax lien, alleging that Clark recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on October 09, 2024.
Without admitting or denying the findings, Clark consented to the sanction and to the entry of findings that she refused to provide documents and information requested by FINRA in connection with its investigation into the circumstances giving rise to an amended Form U5 filed by her former member firm. The finding stated that the firm amended Clark’s Form U5 to disclose that she resigned while under review related to alleged misuse of funds associated with an OBA.
