KEITH FREDERICK FRANCE

KEITH FREDERICK FRANCE is currently employed as a Broker and/or Investment Adviser at BMO HARRIS FINANCIAL ADVISORS, INC. located at 6205 ALLISONVILLE, INDIANAPOLIS, IN, 46032.

KEITH FREDERICK FRANCE has worked at BMO HARRIS FINANCIAL ADVISORS, INC. since August 01, 2012

Disclosure History

KEITH FREDERICK FRANCE has 2 Disclosure Event(s).

Date: July 20, 2016
Category: Customer Dispute
Allegations: Claim alleges misrepresentation and unsuitability of an investment advisory account, 10/19/2015-12/14/2015.
Damage Amount Requested: $18,000.00
Settlement Amount: $11,651.09

Date: January 22, 2008
Category: Customer Dispute
Allegations: CLAIM ALLEGES UNSUITABILITY AND FAILURE TO DISCLOSE RISKS ASSOCIATED WITH A MUTUAL FUND INVESTMENT.
Damage Amount Requested: $16,471.71

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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