RONALD JOSEPH ZABRISKIE

RONALD JOSEPH ZABRISKIE is currently employed as a Broker and/or Investment Adviser at AMERIPRISE FINANCIAL SERVICES, INC. located at 8161 MAPLE LAWN BLVD., SUITE 400, FULTON, MD, 20759.

RONALD JOSEPH ZABRISKIE has worked at AMERIPRISE FINANCIAL SERVICES, INC. since December 08, 2017

Disclosure History

RONALD JOSEPH ZABRISKIE has 1 Disclosure Event(s).

Date: October 22, 1997
Category: Customer Dispute
Allegations: CUSTOMER ALLEGED FAILURE TO EXECUTE SELLORDER, RESULTING IN LOSS TO HIS ACCOUNT OF MORE THAN $5,000.00
Settlement Amount: $8,782.01
Broker Comment: STOCK WAS SOLD FOR CUSTOMER'S ACCOUNT ANDCUSTOMER WAS CREDITED THE DIFFERENCE BETWEEN MARKET AND PRCE ATWHICH HE ORIGINALLY REQUESTED THE STOCK TO BE SOLD. SETTLEMENTWAS FOR $8,782.01-WHICH WAS CREDITED TO CUSTOMER'S ACCOUNT.WHILE EMPLOYED BY RAF FINANCIAL, CLIENT ALLEGEDFAILURE TO SELL A SECURITY. FOR THREE (3) DAYS PRIOR, BROKERREPEATEDLY TRIED TO REACH CLIENT, UNSUCCESSFULLY, TO ADVISECLIENT SECURITY WAS UP 30% FORM ITS ORGINAL PURCHASE PRICE FORTHE CLIENT, AND IT WAS ADVISED TO TAKE PROFITS. CLIENT WASFINALLY CONTACTED BEFORE OPENING BELL OF FOURTH DAY, WAS TOLDOF SITUATION THE WEEK BEFORE, BUT INSTRUCTED BROKER TO HOLD THESECURITY TO SEE HOW IT WOULD REACT THROUGHOUT THE DAY. THESECURITY OPENED DOWN FROM THE PREVIOUS CLOSE, LOSING ALL GAINSCLIENT ACHIEVED, BUT INSTRUCTED BROKER TO HOLD. CLIENT MADEOTHER TRADES, IN THE SAME ACCOUNT ON THE SAME DAY, BUT DID NOTINSTRUCT BROKER TO SELL SECURITY IN QUESTION. CLIENT IS AFUTURE BROTHER-IN-LAW.

More Information

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