JOHN THOMAS KEOWN is currently employed as a Broker and/or Investment Adviser at AMERIPRISE FINANCIAL SERVICES, INC. located at 4200 E SKELLY DR, STE 1015, TULSA, OK, 74135-3241.
JOHN THOMAS KEOWN has worked at AMERIPRISE FINANCIAL SERVICES, INC. since September 26, 1986
Disclosure History
JOHN THOMAS KEOWN has 2 Disclosure Event(s).
Date: October 19, 2006 Category: Customer Dispute Allegations: THE CLIENT ALLEGED IN AN UNKNOWN NUMBER OF YEARS PRECEEDIN HER 2005 DIVORCE,OVER $1 MILLION WAS WITHDRAWN FROM HER ACCOUNTS. Damage Amount Requested: $1,000,000.00 Broker Comment: WE FOUND THE ONE MILLION DOLLAR FIGURE WAS A HISTORICAL AMOUNT OF THE TOTAL REDEMPTIONS FROM THE JOINT RIVERSOURCE CASH MANAGMENT ACCOUNT. THE ACCOUNT WAS OPENED IN 1989 AND THE AMOUNT IN QUESTION WAS NOTED ON THE OCTOBER 2002 STATEMENT OF ACCOUNTS. THE REQUESTED ACCOUNT HISTORIRIES AND DRAFT COPIES WERE PROVIDED TO THE CLIENT.
Date: November 26, 2002 Category: Customer Dispute Allegations: THE CLIENT INDICATED THAT SHE INCURRED SUBSTANTIAL MARKET LOSSES DUE TO THE ALLEGED UNSUITABLE INVESTMENTS THAT I RECOMMENDED. Damage Amount Requested: $10,020.81 Broker Comment: IT WAS DETERMINED THAT THE INVESTMENT PRODUCTS I RECOMMENDED WERE SUITABLE FOR THE CLIENT AT THE POINT OF SALE.
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 JOHN THOMAS KEOWN, 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Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.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.