JAMES ANDREW FREDRIKSON is currently employed as a Broker and/or Investment Adviser at FIFTH THIRD SECURITIES, INC. located at 222 S. RIVERSIDE PLAZA, CHICAGO, IL, 60606.
JAMES ANDREW FREDRIKSON has worked at FIFTH THIRD SECURITIES, INC. since February 23, 2007
Disclosure History
JAMES ANDREW FREDRIKSON has 2 Disclosure Event(s).
Date: March 08, 2001 Category: Customer Dispute Allegations: NEGLIGENCE, BREACH OF FIDUCIARY DUTY, AND UNSUITABILITY ON 3/17/00. Damage Amount Requested: $144,421.20 Settlement Amount: $75,000.00 Broker Comment: SALOMON SMITH BARNEY SETTLED THIS MATTER AFTER A MEDIATION. "MR. FREDRIKSON DENIES ANY AND ALL LIABILITY AND DID NOT CONTRIBUTE TO THE SETTLEMENT."
Date: February 26, 2001 Category: Customer Dispute Allegations: THE CLIENT'S ATTORNEY ALLEGED THAT THE CLIENT WAS NOT CONSULTED WITH RESPECT TO THE INVESTMENTS MADE IN THE ACCOUNT AS WELL AS THE EMPLOYMENT OF THE MONEY MANAGER. THE CLIENT'S ATTORNEY ALSO ALLEGED THAT THE INVESTMENTS SHOULD NOT HAVE BEEN MADE FOR A TRUST. SEPTEMBER 2000 THROUGH FEBRUARY 2001. Damage Amount Requested: $96,291.00 Broker Comment: DANIEL MCELWEE IS HANDLING THIS MATTER. CO-TTEES SETTLED DISPUTE AMONG THEMSELVES BY SETTLEMENT AGREEMENT AND MUTUAL RELEASE RELEASING ALL PARTIES.
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