AMY DEBRA BLEY

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.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

To view the full report for AMY DEBRA BLEY, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.