Augustine Dominique Choi, of Los Angeles, California, a stockbroker registered with Ameriprise Financial Services, Inc., is the subject of a customer initiated investment related written complaint on July 16, 2017, in which the customer requested $17,509.66 in damages based upon allegations that the customer’s variable annuity was surrendered in December of 2016 without the customer’s consent.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Choi has been subject of two more customer initiated investment related disputes containing accusations of Choi’s misconduct while employed with Ameriprise. Particularly, on December 6, 2007, a customer initiated investment related written complaint involving Choi’s conduct was settled for $12,368.00 in damages supported by allegations that the customer was assessed penalties on the surrender of a variable universal life insurance policy despite being told that penalties would be waived upon liquidation.
Moreover, on February 10, 2009, a customer filed an investment related written complaint regarding Choi’s activities, where the customer sought $5,000.00 in damages supported by accusations that Choi made investment recommendations that were not suitable for the customer and omitted details about the customer’s mutual funds and wrap account.
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