Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tracey Smith (Smith), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Smith recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $73,569.87 on October 16, 2024.
The executor of the deceased client’s estate alleged that the advisor misrepresented the death benefit on the client’s NQ RiverSource RAVA 5 Advantage variable annuity.
