Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marcial Vargas (Vargas), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Vargas recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on July 04, 2024.
Claimant alleges that from 2018 through 2022, FA breached his fiduciary duty by recommending unsuitable investments and misrepresenting the nature of those investments.
