LARRY RAY ROOT is currently employed as a Broker and/or Investment Adviser at AMERIPRISE FINANCIAL SERVICES, INC. located at 22 RAHLING CIRCLE, LITTLE ROCK, AR, 72223.
LARRY RAY ROOT has worked at AMERIPRISE FINANCIAL SERVICES, INC. since June 22, 1981
Disclosure History
LARRY RAY ROOT has 1 Disclosure Event(s).
Date: July 26, 2000 Category: Customer Dispute Allegations: CLIENTS ALLEGE ADVISOR DIRECTED TWO MINIMUM REQUIRED DISTRIBUTIONS FROM ONE CUSTOMER'S IRA IN 1997 WHICH CREATED SIGNIFICANT ADDITIONAL TAXES AND PENALTIES FOR THAT TAX YEAR. Damage Amount Requested: $20,000.00 Settlement Amount: $8,172.54 Broker Comment: THE CLIENTS MADE TWO MINIMUM REQUIRED DISTRIBUTIONS FROM ONE CUSTOMER'S IRA AXP BOND FUND ACCOUNT IN 1977 AND THE ADVISOR MADE A SECOND DISTRIBUTION IR ERROR RESULTING IN A TAX LIABILITY.
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