Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephan Edwards (Edwards), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Edwards recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,000.00 on December 23, 2024.
The client alleged that he never authorized the wholesale re-alignment of his portfolio from Strategic Portfolio Service (SPS) Advantage to an Active Portfolio (AP) in early 2024.
