AMY DEBRA BLEY is currently employed as a Broker and/or Investment Adviser at AMERIPRISE FINANCIAL SERVICES, INC. located at 4450 S RURAL RD, STE A140, TEMPE, AZ, 85282.
AMY DEBRA BLEY has worked at AMERIPRISE FINANCIAL SERVICES, INC. since January 25, 1988
Disclosure History
AMY DEBRA BLEY has 2 Disclosure Event(s).
Date: September 23, 2004 Category: Customer Dispute Allegations: THE CLIENT ALLEGED I ALLOWED UNAUTHORIZED TRANSACTIONS TO OCCUR AND HER ACCOUNTS HAVE SUFFERED LOSSES. Damage Amount Requested: $5,000.00 Broker Comment: THE FIRM FOUND THE CLIENT AND HER HUSBAND MAY BE IN THE PROCESS OF A DIVORCE THROUGH ALTHOUGH AEFA HAS RECEIVED NO COURT ORDER TO THIS EFFECT. THERE WERE NO UNAUTHORIZED TRANSACTIONS IN THE CLIENT'S INDIVIDUAL ACCOUNTS. TWO REDEMPTIONS OCCURRED FROM A JOINT CASH ACCOUNT AND THE CHECKS WERE SENT TO THE ADDRESS OF RECORD. WE SENT THE CLIENT A LETTER WITH OUR FINDINGS.
Date: May 08, 2003 Category: Customer Dispute Allegations: THE CLIENT ALLEGES I PLACED THIER IRA ACCOUNT IN UNSUITABLE INVESTMENTS IN OCTOBER 2001. Damage Amount Requested: $40,000.00 Broker Comment: OUR REVIEW OF THE COMPLAINT DETERMINED THE ADVISOR'S RECOMMENDATIONS WERE APPROPRIATE BASED ON THE CLIENTS STATED AND DOCUMENTED GOALS AND OBJECTIVES. WE BELIEVE THE ADVISOR PROVIDED THE CLIENT WITH FULL AND FAIR DISCLOSURE CONCERNING THE DETAILS OF THE INVESTMENT AND THAT THE CLIENT MADE THE INVESTMENT DECISION.
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