LOUIS ANTHONY PANNUCCI

LOUIS ANTHONY PANNUCCI is currently employed as a Broker and/or Investment Adviser at AMERIPRISE FINANCIAL SERVICES, INC. located at 1011 CENTRE RD, STE 100, WILMINGTON, DE, 19805-1270.

LOUIS ANTHONY PANNUCCI has worked at AMERIPRISE FINANCIAL SERVICES, INC. since October 05, 2009

Disclosure History

LOUIS ANTHONY PANNUCCI has 1 Disclosure Event(s).

Date: May 21, 2002
Category: Customer Dispute
Allegations: CLIENT ALLEGES THAT INVESTMENTS SOLICITED BY HIS RR WERE UNSUITABLE FOR HER INVESTMENT OBJECTIVES AND IS UNHAPPY WITH THE PERFORMANCE OF THE FUNDS.
Damage Amount Requested: $23,000.00
Broker Comment: CLAIM DENIED

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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