ELSBETH HERLINDE WELCH is currently employed as a Broker and/or Investment Adviser at AMERIPRISE FINANCIAL SERVICES, INC. located at 250 BEAUVIOR RD, STE 1C, BILOXI, MS, 39531.
ELSBETH HERLINDE WELCH has worked at AMERIPRISE FINANCIAL SERVICES, INC. since February 26, 1987
Disclosure History
ELSBETH HERLINDE WELCH has 2 Disclosure Event(s).
Date: April 23, 2003 Category: Customer Dispute Allegations: CLIENT ALLEGES A "BREACH OF FIDUCIARY RESPONSIBILITY" RESULTING IN THEIR INVESTMENT VALUES DECREASING BY APPROXIMATELY $10000.00. Damage Amount Requested: $10,000.00 Broker Comment: THE ADVISOR WAS ASSIGNED TO THE CLIENT IN DECEMBER, 2001. THERE WERE NO NEW INVESTMENTS OR ADDITIONAL PURCHASES INTO THE ACCOUNTS WHILE THE ADVISOR WAS ASSIGNED TO THE CLIENT. THE ADVISOR AND CLIENT HAD SEVERAL CONVERSATIONS INPERSON AND VIA THE TELEPHONE AT WHICH EACH TIME THE CLIENT CHOSE TO MAINTAIN THEIR INVESTMENTS. A LETTER WAS SENT TO THE CLIENT STATING OUR FINDINGS.
Date: June 05, 2002 Category: Customer Dispute Allegations: THE CLIENTS ALLEGED THAT THE PRODUCT RECOMMENDATIONS WERE NOT SUITABLE Damage Amount Requested: $190,000.00 Broker Comment: THE FIRM FOUND THE CLIENT'S INVESTMENTS WERE SUITABLE AT THE TIME OF SALE AND THAT FULL AND FAIR DISCLOSURE WAS GIVEN.
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