JOHN THOMAS KEOWN

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Allegations: THE CLIENT ALLEGED IN AN UNKNOWN NUMBER OF YEARS PRECEEDIN HER 2005 DIVORCE,OVER $1 MILLION WAS WITHDRAWN FROM HER ACCOUNTS.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.

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