DARRELL GLEN CLEARY is currently employed as a Broker and/or Investment Adviser at AMERIPRISE FINANCIAL SERVICES, INC. located at 4383 EXECUTIVE CIR NW, STE 300, CANTON, OH, 44718.
DARRELL GLEN CLEARY has worked at AMERIPRISE FINANCIAL SERVICES, INC. since June 01, 1987
Disclosure History
DARRELL GLEN CLEARY has 2 Disclosure Event(s).
Date: May 11, 2004 Category: Customer Dispute Allegations: THE CLIENT ALLEGED THAT HE EXPERIENCED TAX PENALTIES RESULTING FROM THE TAX ADVICE I GAVE HIM Damage Amount Requested: $10,000.00 Settlement Amount: $22,387.52 Broker Comment: THE FIRM FOUND THAT MY ADVICE WAS INACCURATE AND RESULTED IN IRS PENALTIES AND FEES. THE CLIENT ACCEPTED AN OFFER TO REIMBURSE A PORTION OF THE IRS PENALTIES AND FEES THAT HE INCURRED.
Date: October 09, 1998 Category: Customer Dispute Allegations: CLAIMANT ALLEGES THAT AEFA ADVISOR, FOR WHOMCLEARY SUPERVISED, NEGLIGENTLY INDUCED HIM TO SELL 90% OF HISFIFTH BANK SHARES. Settlement Amount: $315,000.00 Broker Comment: AEFA AND CLEARY VIGOROUSLY DENY ANY WRONG DOING.THE DECISION TO SELL THE SHARES TO CREATE A MORE DIVERSIFIEDPORTFOLIO WAS REACHED AFTER SEVERAL MEETINGS WITH [CUSTOMER] ANDHIS CHILDREN. A SETTLEMENT HAS BEEN REACHED FOR THE AMOUNT OF$315,000.00.SEE 8C.
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