FINRA has fined and temporarily suspended a financial advisor with Ameriprise for altering a client’s documents without authority during an arbitration hearing, and also has fined Ameriprise for knowingly keeping quiet about the changes.
I am grateful to have found an outstanding law firm that specializes in securities matters. My lawyers were extremely knowledgeable, diligent, and are skilled litigators. No stone was left upturned. As a result of their experience and tenacity, the arbitration proceeding was dismissed in my favor.