JAMES PORTER VOLIN is currently employed as a Broker and/or Investment Adviser at AMERIPRISE FINANCIAL SERVICES, INC. located at 3710 S West Ave, SIOUX FALLS, SD, 57105-6352.
JAMES PORTER VOLIN has worked at AMERIPRISE FINANCIAL SERVICES, INC. since October 23, 1985
Disclosure History
JAMES PORTER VOLIN has 1 Disclosure Event(s).
Date: October 16, 2001 Category: Customer Dispute Allegations: THE CLIENT'S ATTORNEY, ON BEHALF OF THE CLIENT, ALLEGED THAT MONEY THE CLIENT RECEIVED FROM A SETTLEMENT WAS PLACED INTO A SINGLE STOCK FUND WHICH WAS INAPPROPRIATE FOR THEIR TIME HORIZON AND INVESTMENT EXPERIENCE. THE ATTORNEY ALSO ALLEGED THAT TE LACK OF DIVERSIFICATION RESULTED IN A LOSS FOR THE CLIENT. Damage Amount Requested: $28,331.34 Broker Comment: THE COMPANY REVIEW FOUND THAT THE INVESTMENTS THAT WERE RECOMMENDED WERE APPROPRIATE GIVEN THE FINANCIAL OBJECTIVES THE CLIENT DESCRIBED AT THE TIME OF PURCHASE. THE COMPANY DENIED THE ATTORNEY'S REQUEST FOR A SETTLEMENT.
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