Kenneth Allan Franklin of Aliso Viejo California a stockbroker currently employed by Ameriprise Financial Services Inc. is the subject of a customer initiated investment related complaint in which the customer requested $8,008.62 in damages based upon accusations that Franklin misrepresented the liquidity of the customer’s real estate investment trust holdings.
Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally reveals that Franklin is referenced in a customer initiated investment related written complaint which was resolved for $7,396.00 on February 28, 2008 supported by allegations that while Franklin was associated with Ameriprise Financial Services Inc., the customer’s spouse and children had been placed into variable universal life insurance policies that were not suitable for them.
Franklin has been registered with Ameriprise Financial Services Inc. since October 17, 2001.
