JON THOMAS NELSON is currently employed as a Broker and/or Investment Adviser at AMERIPRISE FINANCIAL SERVICES, INC. located at 10 Wright St, Fl 1st, Westport, CT, 06880-3115.
JON THOMAS NELSON has worked at AMERIPRISE FINANCIAL SERVICES, INC. since April 12, 2013
Disclosure History
JON THOMAS NELSON has 3 Disclosure Event(s).
Date: November 10, 2009 Category: Customer Dispute Allegations: ALLEGED FRAUD, NEGLIGENCE, MISREPRESENTATION, BREACH OF CONTRACT AND BREACH OF FIDUCIARY DUTY. (06/01/2007-01/31/2009)***ARBITRATION ALLEGATIONS: CLAIMANT, A CONNECTICUT RESIDENT, ALLEGES BETWEEN 2007 AND 2009 UNSUITABLE INVESTMENT RECOMMENDATIONS WERE MADE FOR HIS PORTFOLIO. CLAIMANT IS REQUESTING COMPENSATORY DAMAGES OF $190,000. Damage Amount Requested: $190,000.00 Settlement Amount: $43,000.00 Broker Comment: WITHOUT ADMITTING ANY LIABILITY, THE FIRM SETTLED THE MATTER FOR $43,000.00 TO AVOID THE EXPENSE AND UNCERTAINTY OF ARBITRATION.
Date: October 21, 1980 Category: Regulatory
Date: February 01, 1961 Category: Criminal
More Information
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