MICHAEL SHAWN RODERICK is currently employed as a Broker and/or Investment Adviser at AMERIPRISE FINANCIAL SERVICES, INC. located at 655 METRO PL SOUTH, STE 450, DUBLIN, OH, 43017-3388.
MICHAEL SHAWN RODERICK has worked at AMERIPRISE FINANCIAL SERVICES, INC. since September 03, 2010
Disclosure History
MICHAEL SHAWN RODERICK has 2 Disclosure Event(s).
Date: January 13, 1995 Category: Customer Dispute Allegations: CUSTOMER ALLEGED MR. RODERICK PLACED SHARESOF NEW ISSUE BORROR CORPORATION INTO ITS ACCOUNT WITHOUT THEEXPRESS CONSENT OF THE CUSTOMER. Settlement Amount: $20,706.20 Broker Comment: MCDONALD & COMPANY SECURITIES, INC SETTLED THECLAIM FOR $20,706.20.Not Provided
Date: October 18, 1994 Category: Customer Dispute Allegations: CUSTOMER ALLEGED UNSUITABLE AND UNAUTHORIZEDTRADES AND ALLEGED LOSSES EXCEEDING $20,000. THE CLAIM RELATEDTO THE CUSTOMER'S SALE OF CERTAIN SECURITIES AND PURCHASE OF$3,000 SHARES OF BORROR CORPORATION ON THE INITIAL PUBLICOFFERING Damage Amount Requested: $20,000.01 Settlement Amount: $22,125.00 Broker Comment: MCDONALD & CO SETTLED THE CLAIM FOR $22,125 ANDI WAS NOT ASKED TO CONTRIBUTE TO THE SETTLEMENT. I DENIED THECLAIMS AGAINST ME. THE TRADES WERE SUITABLE FOR AND AUTHORIZEDBY THE CUSTOMER, AND SHE WAS FULLY INFORMED CONCERNING HERACCOUNT AND HER INVESTMENT IN BORROR CORP.Not Provided
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