DOMINICK JOHN RIOLO is currently employed as a Broker and/or Investment Adviser at AMERIPRISE FINANCIAL SERVICES, INC. located at 254 S Main Street Ste 406, New York, NY, 10956.
DOMINICK JOHN RIOLO has worked at AMERIPRISE FINANCIAL SERVICES, INC. since July 03, 2014
Disclosure History
DOMINICK JOHN RIOLO has 2 Disclosure Event(s).
Date: July 25, 2011 Category: Customer Dispute Allegations: CLIENT CLAIMS WELLS REIT INVESTMENT PURCHASED BY MR. RIOLO DOES NOT MEET HER INVESTMENT OBJECTIVES. Damage Amount Requested: $15,058.84 Broker Comment: CUSTOMER COMPLIANT DENIED BASED ON LONG TERM RELATIONSHIP MR. RIOLO HAD WITH CLIENT AND NEW ACCOUNT FORM SUPPORTING OBJECTIVES THAT WERE MET BY THE REIT.
Date: April 03, 2008 Category: Customer Dispute Allegations: CLIENT EXPRESSED CONCERN THAT THE ALLOCATION OF RETIREMENT ROLLOVER TO ONE MUTUAL FUND WAS UNSUITABLE Damage Amount Requested: $5,000.00
More Information
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