JAMES SIDNEY HERZIKOFF is currently employed as a Broker and/or Investment Adviser at AMERIPRISE FINANCIAL SERVICES, INC. located at 2029 Century Park E Ste 2550, Los Angeles, CA, 90067.
JAMES SIDNEY HERZIKOFF has worked at AMERIPRISE FINANCIAL SERVICES, INC. since October 11, 2017
Disclosure History
JAMES SIDNEY HERZIKOFF has 5 Disclosure Event(s).
Date: September 18, 1995 Category: Customer Dispute Allegations: SUITABILITIES TO MANY TRADE FAILURE TOSUPERVISE UNAUTHORIZED TRADES Damage Amount Requested: $267,716.00 Settlement Amount: $45,000.00 Broker Comment: ADMISSION OF ANY WRONGS SMITH BARNEY SETTLED FOR$43,000.00I HAVE DENIED THE (UNKNOWN) IN THE COMPLAINT PRO,SMITH BARNEY DECIDED TO SETTLE INSTEAD OF COMING FORWARD. SMITHBARNEY AND I HAVE BEEN RELEASED
Date: October 14, 1994 Category: Customer Dispute Allegations: ALLEGED DAMAGES $250,000 ALLEGED EXCESSIVEAND UNSUITABLE TRADING Settlement Amount: $150,000.00 Broker Comment: SETTLED FOR $15,000 BROKER DID NOT CONTRIBUTEENCLOSED SETTLEMENT FROM BEAR STERNS.
Date: July 28, 1993 Category: Customer Dispute Allegations: FAIL SUPERVISE (MANAGEMENT) SUITABILITY,BREACH OF CONTRACT Damage Amount Requested: $145,000.00 Settlement Amount: $12,500.00 Broker Comment: B. STEARNS NEG. 12,500 SETTLEMENT TO AVOIDFURTHER LEGAL EXPENSESCLIENT FILED FOR ARBITRATION. HIS CLAIMS WEREWITHOUT MERIT. IN FACT HE HAD MADE MONEY IN HIS PENSION ANDPERSONAL ACCOUNT, I TRULY NEVER UNDERSTOOD THE CLAIMS AS THEREWERE NOT ANY LOSSES.
Date: May 17, 1993 Category: Employment Separation After Allegations Firm Name: BEAR,STEARNS, & CO. INC. Termination Type: Voluntary Resignation Allegations: N?A CLIENT CLAIMED 500 SHARES BOUGHT FOR HIS ACCOUNT WITHOUT APPROVAL IN JANUARY, 1993 AND SOLD IN APRIL, 1993 FOR A LOSS. Broker Comment: SETTLED CLAIM TO AVOID FURTHER EXPENSE $5300.00 ADJUSTMENT. BROKER PAID 100% NOT PROVIDED
Date: April 15, 1993 Category: Customer Dispute Allegations: CLAIMED HE DID NOT UNDERSTAND RISKS Damage Amount Requested: $20,000.00 Settlement Amount: $20,000.00 Broker Comment: B. STEARN NEG. SETTLEMENT $20,000.CLIENT WAS HAPPY WHEN ACCOUNT WAS GROWING. HESIGNED LETTER TO TNDT EFFECT FROM COMPLIANCE. WHEN HIS STOCKDROPPED HE CLAIMED HE DIDN'T KNOW THE RISKS. B.S. SETTLED TOAVOID ANY FURTHER EXPENSE I PAID.
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.
To view the full report for JAMES SIDNEY HERZIKOFF, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.