JEFFREY ALAN GREENWALD

JEFFREY ALAN GREENWALD is currently employed as a Broker and/or Investment Adviser at AMERIPRISE FINANCIAL SERVICES, INC. located at 1825 NW CORPORATE BLVD, STE 200, BOCA RATON, FL, 33431-8559.

JEFFREY ALAN GREENWALD has worked at AMERIPRISE FINANCIAL SERVICES, INC. since January 13, 2012

Disclosure History

JEFFREY ALAN GREENWALD has 2 Disclosure Event(s).

Date: December 16, 2008
Category: Customer Dispute
Allegations: THE CLIENT ALLEGED INAPPROPRIATE INVESTMENTS AND TRADING FOR COMMISSIONS - 08/2007-07/2008. DAMAGES UNSPECIFIED.
Broker Comment: CLAIM DENIED.

Date: October 28, 1998
Category: Customer Dispute
Allegations: ATTORNEY FOR CLIENTS ALLEGED THAT PURCHASESIN THE CLIENTS' ACCOUNTS WERE MISREPRESENTED UNAUTHORIZED ANDNOT IN ACCORDANCE WITH THEIR INSTRUCTIONS. STOCKS, BONDS,MUTUAL FUNDS. ALLEGED DAMAGES UNSPECIFIED FIRM: SMITH BARNEY.
Broker Comment: CLIENTS DROPPED THE CLAIM VOLUNTARILY AND AGREETHAT THE CASE WAS FILED IN ERROR.NOT PROVIDED

More Information

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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.

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