Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Devine (Devine), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Devine 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 $860,000.00 on October 30, 2024.
Claimant alleges that she was wrongfully recommended she withdraw large sums of money from her inherited IRA account to fund the purchase and construction costs of a home, resulting in substantial unplanned capital gains taxes.
