NAIMUDDIN SYED is currently employed as a Broker and/or Investment Adviser at AMERIPRISE FINANCIAL SERVICES, INC. located at 28100 Bouquet Canyon Rd, Ste 202, Santa Clarita, CA, 91350.
NAIMUDDIN SYED has worked at AMERIPRISE FINANCIAL SERVICES, INC. since July 05, 2017
Disclosure History
NAIMUDDIN SYED has 4 Disclosure Event(s).
Date: June 29, 2017 Category: Employment Separation After Allegations Firm Name: Cantella & Co., Inc. Termination Type: Permitted to Resign Allegations: Failure to respond to a home office inquiry pertaining to UIT trading
Date: January 14, 2005 Category: Customer Dispute Allegations: CUSTOMERS ALLEGE THAT, BETWEEN SEPTEMBER 1999 AND AUGUST 2002, UNSUITABLE INVESTMENTS WERE PURCHASED FOR THEIR ACCOUNTS AND THAT THE RISKS OF THESE INVESTMENTS WERE MISREPRESENTED TO THEM. Damage Amount Requested: $500,000.00 Settlement Amount: $50,000.00 Broker Comment: NOTE [OTHER CUSTOMERS NAMED] AND [OTHER CUSTOMERS NAMED] DISMISSED THEIR COMPLAINT PRIOR TO SETTLEMENT.
Date: April 01, 2003 Category: Customer Dispute Allegations: CUSTOMER ALLEGED THAT FINANCIAL ADVISOR FAILED TO FOLLOW HIS INSTRUCTIONS REGARDING THE TRANSFER OF HIS ACCOUNT. Damage Amount Requested: $14,805.00
Date: February 13, 2003 Category: Customer Dispute Allegations: FOR THE YEAR OF 2000 THROUGH 2002 CLAIMANT ALLEGES UNSUITABILITY ANS EXCESSIVE TRADING. Damage Amount Requested: $111,705.00
More Information
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