AARON DANIEL LOCKE is currently employed as a Broker and/or Investment Adviser at CETERA ADVISOR NETWORKS LLC located at 5985 RICE CREEK PARKWAY, SUITE 100, SHOREVIEW, MN, 55126.
AARON DANIEL LOCKE has worked at CETERA ADVISOR NETWORKS LLC since May 13, 2009
Disclosure History
AARON DANIEL LOCKE has 2 Disclosure Event(s).
Date: November 18, 2009 Category: Customer Dispute Allegations: PLAINTIFFS OPENED A BROKERAGE ACCOUNT IN 2008 AND ALLEGE THAT DEFENDANTS RECOMMENDED UNSUITABLE INVESTMENTS, INCLUDING UNSPECIFIED MUTUAL FUNDS. PLAINTIFFS SEEK $30,197.67 PLUS INTEREST, COSTS AND ATTORNEY'S FEES. Damage Amount Requested: $30,197.67 Settlement Amount: $6,000.00 Broker Comment: AMERIPRISE CHOSE TO SETTLE THIS MATTER IN ORDER TO AVOID THE COSTS ASSOCIATED WITH LITIGATION AND ARBITRATION. THE ADVISOR WAS DISMISSED FROM THE CASE AS PART OF THE SETTLEMENT AND CONTRIBUTED NOTHING TO THE SETTLEMENT AMOUNT.
Date: September 15, 2008 Category: Customer Dispute Allegations: THE CLIENTS' STATED THEY WERE CONSERVATIVE INVESTORS. THEY ALLEGED THAT ON DECEMBER 12, 2007 THEIR ADVISOR MADE UNSUITABLE RECOMMENDATIONS. THESE RECOMMENDATIONS RESULTED ON A MARKET LOSS OF $8,000. THE CLIENTS ARE REQUESTING TO BE REIMBURSED FOR THEIR LOSSES. Damage Amount Requested: $8,000.00
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