JAMES GEETON WOO

JAMES GEETON WOO is currently employed as a Broker and/or Investment Adviser at AMERIPRISE FINANCIAL SERVICES, INC. located at 4701 COX RD, STE 275, GLEN ALLEN, VA, 23060.

JAMES GEETON WOO has worked at AMERIPRISE FINANCIAL SERVICES, INC. since August 22, 1996

Disclosure History

JAMES GEETON WOO has 1 Disclosure Event(s).

Date: November 30, 2012
Category: Customer Dispute
Allegations: CLIENT ALLEGED THE INVESTMENTS PURCHASED BY HER ADVISOR BETWEEN AUGUST AND NOVEMBER 2012 WERE NOT AUTHORIZED BY HER AND WERE UNSUITABLE INVESTMENTS.
Damage Amount Requested: $10,000.00

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.

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