Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rodney Rich (Rich), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rich recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on August 22, 2024.
The client alleged that her advisor failed to monitor her Met Life Annuity contracts and therefore gave her poor advice with respect to the income to be received over her lifetime.
