KATHLENE BRESEE ALLEN is currently employed as a Broker and/or Investment Adviser at AMERIPRISE FINANCIAL SERVICES, INC. located at 10 WINDING BROOK DR, STRATHAM, NH, 03885.
KATHLENE BRESEE ALLEN has worked at AMERIPRISE FINANCIAL SERVICES, INC. since January 28, 1985
Disclosure History
KATHLENE BRESEE ALLEN has 1 Disclosure Event(s).
Date: February 20, 2002 Category: Customer Dispute Allegations: THE CLIENTS ALLEGED THAT I COMPLETED UNAUTHORIZED TRANSACTIONS ON THEIR ACCOUNTS AND DID NOT FULLY DISCLOSE THE RISK OF THE INVESTMENTS THAT THEY PURCHASED AT THE TIME I RECOMMENDED THE INVESTMENTS. Damage Amount Requested: $21,800.00 Broker Comment: MY COMPLIANCE DEPARTMENT REVIEWED THIS MATTER AND FOUND NO FAULT WITH MY ACTIONS. THEY FOUND THE CLIENTS SIGNED ALL DOCUMENTS AND RECEIVED PROSPECTUSES AND DISCLOSURES ON ALL INVESTMENTS THEY PURCHASEDL. MY COMPLIANCE DEPARTMENT FOUND NO EVIDENCE THAT I EVER ACTED WITHOUT PRIOR AUTHORIZATION BY THE CLIENTS.
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