STACEY LYNN FREDRICKSON is currently employed as a Broker and/or Investment Adviser at AMERIPRISE FINANCIAL SERVICES, INC. located at 1412 LEGEND HILLS DR, STE 336, CLEARFIELD, UT, 84015.
STACEY LYNN FREDRICKSON has worked at AMERIPRISE FINANCIAL SERVICES, INC. since March 22, 1989
Disclosure History
STACEY LYNN FREDRICKSON has 2 Disclosure Event(s).
Date: March 13, 2007 Category: Customer Dispute Allegations: THE CLIENT ALLEGED HER INVESTMENTS PURCHASED IN 2000 WERE MISMANAGED WHICH CAUSED HER TO LOSE MONEY. Damage Amount Requested: $9,000.00 Broker Comment: THE FIRM FOUND THE CASE UNJUSTIFIED. THERE WAS AMPLE CONTACT BETWEEN THE ADVISOR AND THE CLIENT IN WHICH THE CLIENT DID NOT INFORM THE ADVISOR OF ANY CONCERNS WITH THE INVESTMENTS. THE INVESTMENTS WERE IN LINE WITH THE CLIENT'S INVESTMENT OBJECTIVES.
Date: February 04, 2000 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT I FAILED TO NOTIFY IM OF THE FACT THE MARKET WAS FALLING IN 1998. WHEN THE MARKET DROPPED THE CUSTOMER SOLD MUTUAL FUNDS AND PLACED THE PROCEEDS IN CASH ON 9/01/1998. Damage Amount Requested: $62,179.00 Broker Comment: OUR COMPLIANCE DEPARTMENT FOUND THAT THE CUSTOMER HAD INVESTED $300,000 WITH US AND IN FACT HAS A GAIN OF APPROXIMATELY $89,059.42 IN HIS ACCOUNTS. THE CUSTOMER INITIATED THE SALE ON 9/1/1998 AND SINCE WE DO NOT GUARANTEE THE PERFORMANCE OF THESE INVESTMENTS WE FIND INSUFFICENT JUSTIFICATION TO COMPENSATE THE CUSTOMER IN THE MANNER REQUESTED.
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