JOAN PANDOLA NYE

JOAN PANDOLA NYE is currently employed as a Broker and/or Investment Adviser at AMERIPRISE FINANCIAL SERVICES, INC. located at 5910 N CENTRAL EXPY, STE 1040, DALLAS, TX, 75206-0904.

JOAN PANDOLA NYE has worked at AMERIPRISE FINANCIAL SERVICES, INC. since August 18, 2015

Disclosure History

JOAN PANDOLA NYE has 2 Disclosure Event(s).

Date: October 06, 2014
Category: Customer Dispute
Allegations: CLIENT CONFUSED AS TO ORDERS PLACED IN ACCOUNT. MISUNDERSTANDING OF AMOUNTS AND FUNDS SELECTED AFTER HER IN-OFFICE MEETING. IN EFFORT OF GOOD WILL AND LONG TERM RELATIONSHIP I OFFERED TO PROMPTLY CANCEL TRADES AT NO COST TO THE CLIENT. CLIENT AGREED. THERE WAS NO LOSS TO CLIENT.

Date: May 20, 2009
Category: Customer Dispute
Allegations: CLIENT ALLEGES MISREPRESENTATION OF VARIABLE LIFE POLICY, POLICY WAS ISSUED MARCH 2008.
Damage Amount Requested: $17,000.00

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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