RICHARD CHARLES OASTER

RICHARD CHARLES OASTER is currently employed as a Broker and/or Investment Adviser at AMERIPRISE FINANCIAL SERVICES, INC. located at 15 SCHOEN PL, PITTSFORD, NY, 14534-2025.

RICHARD CHARLES OASTER has worked at AMERIPRISE FINANCIAL SERVICES, INC. since November 20, 2009

Disclosure History

RICHARD CHARLES OASTER has 1 Disclosure Event(s).

Date: June 13, 2012
Category: Customer Dispute
Allegations: NEGLIGENCE, UNSUITABILITY OF ASSET ALLOCATION BREACH OF FIDUCIARY DUTY BREACH OF CONTRACT
Damage Amount Requested: $18,600,000.00 Damages Granted: $1,200,000.00
Broker Comment: The initial claim was made by claimants against Ensemble Financial Services, with Rep as a subject of the arbitration. Rep was later brought into arbitration as a third party respondent by the Firm. An award was granted to complainant against Ensemble Financial Services for $1,200,000 in compensatory damages. All claims against Rep as a third party respondent were denied. Details were previously entered in ┬ž12-16 in error as Rep was a respondent of "the Firm," not a Client or Consumer.

More Information

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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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