SHELBY GREGORY FINK is currently employed as a Broker and/or Investment Adviser at AMERIPRISE FINANCIAL SERVICES, INC. located at 12700 TOWNEPARK WAY, STE 100, LOUISVILLE, KY, 40243.
SHELBY GREGORY FINK has worked at AMERIPRISE FINANCIAL SERVICES, INC. since August 21, 1996
Disclosure History
SHELBY GREGORY FINK has 5 Disclosure Event(s).
Date: July 12, 2007 Category: Customer Dispute Allegations: THE CLIENT ALLEGED A LOSS OF $60,000 DUE TO THE ADVISOR'S MISHANDLING AND POOR PRODUCT PERFORMANCE. THE CLIENT ALLEGED A LACK OF RESPONSE TO HER CONCERNS REGARDING THE PORTFOLIO PERFORMANCE. THE CLIENT HAS REQUESTED ACCOMMODATIONS TO OVERCOME THE LOSSES. Damage Amount Requested: $60,000.00 Broker Comment: THE FIRM FOUND THE CLIENT WAS PROVIDED WITH SUITABLE RECOMMENDATIONS WHICH WERE IN ALIGNMENT WITH HER GOALS AND RISK TOLERANCE AT THE TIME OF THE ACTION. THE CLIENT CONFIRMED SHE RECEIVED AND REVIEWED THE MONTHLY STATEMENTS (1999-2006)HOWEVER SHE DID NOT ACT OR QUESTION THE CONTENT.
Date: December 01, 2005 Category: Customer Dispute Allegations: THE CLIENT ALLEGED B SHARE MUTUAL FUNDS WERE UNSUITABLE FOR HER INVESTMENTS. IN ADDITION, THE CLIET ALLEGED I ASSURED HER THAT HER ACCOUNT WOULD INCREASE IN VALUE. Damage Amount Requested: $250,000.00 Broker Comment: THE FIRM FOUND THE INVESTMENT RECOMMENDATIONS MADE WERE SUITABLE GIVEN THE CLIENTS STATED RISK TOLERANCE AND INVESTMENT GOALS/OBJECTIVES. IN ADDITIONA, THE FIRM FOUND NO PROMISES WERE MADE REGARDING THE RETURN HER INVESTMENTS MAY REALIZE.
Date: March 07, 2005 Category: Customer Dispute Allegations: THE CLIENT ALLEGED THAT MY INVESTMENT RECOMMENDAITONS AND LACK OF RESPONSE TO HIS TRANSACTION REQUESTS RESULTED IN SUBSTANTIAL MARKET LOSSES.AN ATTORNEY PURPORTING TO REPRESENT MULTIPLE CLIENTS SENT IN A DEMAND FOR SETTLEMENT ALLEGING GENERALLY THAT FROM APPROXIMATELY 1998-2001, THE ADVISOR RECOMMENDED AND SOLD MUTUAL FUNDS INVESTMENTS UNSUITABLE FOR THE CLIENTS OBJECTIVES,ASSETS AND RISK TOLERANCES. Settlement Amount: $46,000.00 Broker Comment: ON 03/30/05, AEFA SETTLED THIS MATTER FOR $46,000.00 IN ORDER TO AVOID THE COST ASSOCIATED WITH POTENTIAL LITIGATION. I CONTRIBUTED NOTHING TO THE SETTLEMENT AMOUNT.
Date: April 07, 2003 Category: Customer Dispute Allegations: THE CLIENT ALLEGED UNSUITABLE SALES. Damage Amount Requested: $50,000.00 Broker Comment: THE COMPLAINT DID NOT HAVE MERIT. THE RECOMMENDATIONS WERE SUITABLE AT THE TIME OF SALE FOR A MODERATE/AGGRESSIVE INVESTOR.
Date: August 02, 2002 Category: Customer Dispute Allegations: THE CLIENT ALLEGED NON-DISCLOSURE OF B-SHARE CHARGES AND UNSUITABLE SALES. Damage Amount Requested: $20,000.00 Broker Comment: THE FIRM FOUND THE RECOMMENDATIONS TO BE SUITABLE AT THE TIME OF SALE. THE CLIENT RECEIVED FULL AND FAIR DISCLOSURE OF THE CDSC. THE COMPLAINT WAS WITHOUT MERIT.
More Information
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