MARY JANE KENDALL

MARY JANE KENDALL is currently employed as a Broker and/or Investment Adviser at AMERIPRISE FINANCIAL SERVICES, INC. located at 12 KENTON DR, CHARLESTON, WV, 25311.

MARY JANE KENDALL has worked at AMERIPRISE FINANCIAL SERVICES, INC. since December 09, 1985

Disclosure History

MARY JANE KENDALL has 1 Disclosure Event(s).

Date: January 24, 2005
Category: Customer Dispute
Allegations: CLAIMANTS ALLEGE THAT IN MARCH AND APRIL 2000, AEFA RECOMMENDED THEIR MONEY FOR RETIREMENT BE INVESTED IN UNSUITABLE AND AGGRESSIVE MUTUAL FUNDS. THEY CLAIM THAT BY SEPTEMBER 2000, THEY LOST $97,653. THEY REQUEST THIS AMOUNT PLUS COMMISSIONS, INTEREST, ATTORNEY FEES, AND AN UNSPECIFIED AMOUNT IN PUNITIVE DAMAGES
Damage Amount Requested: $97,653.00
Settlement Amount: $28,000.00
Broker Comment: AMERIPRISE SETTLED THIS MATTER FOR $28,000.00 IN ORDER TO AVOID THE COSTS ASSOCIATED WITH ABITRATION. I WAS DISMISSED FROM THE CASE AS PART OF THE SETTLEMENT AND I CONTRIBUTED NOTHING TO THE SETTLEMENT AMOUNT.

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.

To view the full report for MARY JANE KENDALL, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.