Daniel Paul Doogs of Aurora, Indiana, a stockbroker registered with Ameriprise Financial Services, Inc., has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by allegations that Doogs failed to provide FINRA with a response to FINRA’s request for information about his business activities. FINRA Letter No. 2017053751801 (Sept. 15, 2017).
FINRA Public Disclosure reveals that on October 26, 2017, a customer filed an investment related written complaint involving Doogs’s conduct, where the customer requested $398,936.32 in damages based upon accusations that Doogs made unsuitable recommendations to the customer relating to the sale of the customer’s stock holdings.
Ameriprise Financial fired Doogs on June 2, 2017, founded on allegations that he entered into unapproved customer loan arrangements with customers of the firm in violation of the firm’s policies.
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