John Tao of Plantation Florida a stockbroker currently employed by Ameriprise Financial Services Inc. is referenced in a customer initiated investment related written complaint on June 8, 2018 where the customer requested $84,000.00 in damages founded on allegations that Tao effected exchange-traded funds in the customer’s investment account that were not suitable for the customer given the risk of those investments failing to conform to the customer’s risk tolerance.
FINRA Public Disclosure additionally confirms that on October 1, 2012, a customer filed an investment related complaint involving Tao’s conduct in which the customer sought $65,000.00 in damages based upon accusations that the customer sustained unwarranted investment losses on speculative mutual fund and exchange-traded fund investments held in the customer’s investment portfolio.
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