GUY ANTHONY COLELLA is currently employed as a Broker and/or Investment Adviser at AMERIPRISE FINANCIAL SERVICES, INC. located at 11300 US HIGHWAY 1, STE 600 & 501, PALM BEACH GARDENS, FL, 33408-3293.
GUY ANTHONY COLELLA has worked at AMERIPRISE FINANCIAL SERVICES, INC. since November 04, 2011
Disclosure History
GUY ANTHONY COLELLA has 2 Disclosure Event(s).
Date: July 19, 2001 Category: Customer Dispute Allegations: UNAUTHORIZED TRADING Damage Amount Requested: $35,000.00 Settlement Amount: $14,000.00 Broker Comment: IT IS MY UNDERSTANDING THAT THE FIRM DECIDED TO SETTLE THIS MATTER RATHER THAN PURSUE A COSTLY ARBITRATION. THE CUSTOMER, IN MY OPINION, WAS A SOPHISTICATED KNOWLEDGEABLE INVESTOR WHO HAD COMPLETE CONTROL OF HIS ACCOUNT AT ALL TIMES.
Date: November 30, 1998 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT MUTUAL FUNDS WERE SOLD AND THE PROCEEDS INVESTED IN CLOSED END FUNDS OF A SIMILAR NATURE, SOLEY TO GENERATE NECESSARY COMMISSIONS WHICH CLIENT ESTIMATES TOTAL APPROXIMATELY $25,000.00 Damage Amount Requested: $25,000.00 Broker Comment: MATTER CLOSED DUE TO NO FURTHER ACTION BY CLIENT.
More Information
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