ROBERT LEIGH DAGGETT is currently employed as a Broker and/or Investment Adviser at AMERIPRISE FINANCIAL SERVICES, INC. located at 30 FOREST FALLS DR, STE 3, YARMOUTH, ME, 04096.
ROBERT LEIGH DAGGETT has worked at AMERIPRISE FINANCIAL SERVICES, INC. since January 23, 1973
Disclosure History
ROBERT LEIGH DAGGETT has 3 Disclosure Event(s).
Date: February 17, 2009 Category: Customer Dispute Allegations: THE CLIENTS ALLEGED THE INVESTMENTS WITHIN THEIR WRAP ACCOUNTS WERE NOT SUITABLE FOR THEIR AGE. WRAP ACCOUNTS OPENED IN DECEMBER 2006. Damage Amount Requested: $150,970.57 Broker Comment: THE FIRM FOUND THE ADVISOR'S RECOMMENDATIONS WERE IN-LINE WITH THE CLIENT'S GOALS,INVESTMENT TIMEFRAME, AND RISK TOLERANCE AT THE TIME OF THE SALE.
Date: November 25, 2003 Category: Customer Dispute Allegations: CLIENT CLAIMS THAT BEGINNING IN MAY 2002, DAGGETT GAVE HER INACCURATE TAX ADVICE CONCERNING HER INVESTMENT TRANSACTIONS, FAILED TO DISCLOSE COMMISSIONS, BREACHED HIS FIDUCIARY DUTY AND VIOLATED MAINE DECEPTIVE TRADE PRACTICES ACT. CLIENT REQUESTS DAMAGES OF $25,000.00 PLUS FEES IN RECEOVERY OF TAX LIABILITY SHE INCURRED Settlement Amount: $9,000.00 Broker Comment: AEFA SETTLED THIS MATTER FOR $9000.00 TO AVOID THE COSTS ASSOCIATED WITH LITIGATION AND I CONTRIBUTED NOTHING TO THE SETTLEMENT.
Date: April 21, 2003 Category: Customer Dispute Allegations: THE CLIENT ALLEGES THAT THE ADVISOR MADE IMPROPER RECOMMENDATIONS RESULTING IN LOSS AND TAX LIABILITY Damage Amount Requested: $75,000.00 Broker Comment: THE COMPLAINT WAS WITHOUT MERIT. THE RECOMMENDATIONS WERE SUITABLE AT THE TIME OF SALE.
More Information
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