JAMES DRUMMOND GARSTANG is currently employed as a Broker and/or Investment Adviser at AMERIPRISE FINANCIAL SERVICES, INC. located at 1783 MERIDEN-WATERBURY TPKE, MILLDALE, CT, 06467.
JAMES DRUMMOND GARSTANG has worked at AMERIPRISE FINANCIAL SERVICES, INC. since August 27, 1997
Disclosure History
JAMES DRUMMOND GARSTANG has 2 Disclosure Event(s).
Date: July 23, 2013 Category: Customer Dispute Allegations: THE CLIENT ALLEGED THE VARIABLE LIFE INSURANCE POLICY HE PURCHASED IN MARCH 1999 WAS MISREPRESENTED TO HIM. Damage Amount Requested: $25,196.62
Date: July 26, 2002 Category: Customer Dispute Allegations: THE CLIENTS DAUGHTER ALLEGED I DID NOT GIVE THE APPROPRIATE INFORMATION TO HER MOTHER TO MAKE AN INFORMED DECISION AND I MISLED HER MOTHER INTO BELIEVING HER MONEY WOULD BE SAFE. THE CLIENTS WOULD LIKE US TO REVIEW THEIR OPTIONS. Damage Amount Requested: $23,612.02 Broker Comment: OUR REVIEW FOUND THE ADVISOR PRESENTED SUITABLE INVESTMENT RECOMMENDATIONS AND PROVIDED FULL AND FAIR DISCLOSURE WITH REGARDS TO THE INVESTMENTS THE CLIENT CHOSE WITH HER DAUGHTER PRESENT AT THE TIME OF PURCHASE. IN ADDITION, THE SIGNED AND WITNESSED DOCUMENTS ACKNOWLEDGED THE CLIENT'S AND DAUGHTER'S UNDERSTANDING OF THE PROVISIONS ASSOCIATED WITH HER INVESTMENT DECISIONS.
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