CHARLA KAE MC INTYRE FIELDS

CHARLA KAE MC INTYRE FIELDS is currently employed as a Broker and/or Investment Adviser at AMERIPRISE FINANCIAL SERVICES, INC. located at 1401 PRECINCT LINE RD, STE 150, HURST, TX, 76053.

CHARLA KAE MC INTYRE FIELDS has worked at AMERIPRISE FINANCIAL SERVICES, INC. since August 30, 1996

Disclosure History

CHARLA KAE MC INTYRE FIELDS has 1 Disclosure Event(s).

Date: April 20, 2006
Category: Customer Dispute
Allegations: CLIENT ALLEGES HE WAS CHARGED WITH EARLY TERMINATION FEES WHICH WERE NOT DISCLOSED TO HIM FROM A TRADE IN MARCH OF 2006.
Damage Amount Requested: $58,000.00
Settlement Amount: $99,996.80
Broker Comment: RETURN OF REDEMPTION FEES PAID AS WELL LOST INTEREST DUE TRADES MADE WITHOUT INFORMATIO AROUND EARLY WITHDRAWL FEES.

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 CHARLA KAE MC INTYRE FIELDS, click here.

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