EVAN IRA FISCHER

EVAN IRA FISCHER is currently employed as a Broker and/or Investment Adviser at AMERIPRISE FINANCIAL SERVICES, INC. located at 333 EARLE OVINGTON BLVD, STE 903, MITCHEL FIELD, NY, 11553.

EVAN IRA FISCHER has worked at AMERIPRISE FINANCIAL SERVICES, INC. since April 18, 2016

Disclosure History

EVAN IRA FISCHER has 4 Disclosure Event(s).

Date: September 29, 2017
Category: Customer Dispute
Allegations: CLIENT ALLEGES UNSUITABLE TRADES, NEGLIGENCE, BREACH OF FIDUCIARY DUTY, BREACH OF CONTRACT, FRAUD, BREACH OF SECURITIES REGULATORY REQUIREMENTS, FAILURE TO SUPERVISE, AND VIOLATION OF THE NEW HAMPSHIRE UNIFORM SECURITIES ACT. FROM 2011 TO 2016.
Damage Amount Requested: $220,000.00

Date: January 23, 2017
Category: Customer Dispute
Allegations: CLAIMANTS ASSERT CLAIMS FOR UNSUITABILITY, UNAUTHORIZED TRADING, NEGLIGENCE, BREACH OF CONTRACT AND MISREPRESENTATION IN CONNECTION WITH MAINTENANCE OF THEIR ACCOUNT AT OPPENHEIMER. FROM JANUARY 2013 THROUGH DECEMBER 31, 2016.
Damage Amount Requested: $290,000.00
Settlement Amount: $85,000.00

Date: June 27, 2016
Category: Customer Dispute
Allegations: Fischer was a subject of the customers' complaint against Fischer's member firm that asserted the following causes of action: breach of fiduciary duty; negligence; negligent supervision; fraud; breach of contract; and violation of ERISA.
Damage Amount Requested: $973,148.30

Date: May 17, 2004
Category: Customer Dispute
Allegations: CLAIMANT ALLEGES THAT BROKER MADE UNSUITABLE INVESTMENT RECOMMENDEATIONS BEGINNING IN EARLY TO MID 1990'S THROUGH NOVEMBER 2001.
Damage Amount Requested: $360,000.00
Settlement Amount: $33,320.00

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.

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