STEPHEN PLAUCHE BARTLETT is currently employed as a Broker and/or Investment Adviser at AMERIPRISE FINANCIAL SERVICES, INC. located at 125 W ROMANA ST, STE 610, PENSACOLA, FL, 32502-5847.
STEPHEN PLAUCHE BARTLETT has worked at AMERIPRISE FINANCIAL SERVICES, INC. since March 11, 2016
Disclosure History
STEPHEN PLAUCHE BARTLETT has 5 Disclosure Event(s).
Date: January 08, 2017 Category: Financial Type: Compromise Disposition: Discharged
Date: November 18, 2009 Category: Customer Dispute Allegations: WRITTEN COMPLAINT SUBMITTED TO PACIFIC LIFE BY THE CLIENT, DATED 11.17.09, ALLEGES MISREPRESENTATION WITH REGARD TO VARIABLE ANNUITY PURCHASES
Date: July 06, 2009 Category: Customer Dispute Allegations: CLAIM ALLEGES MISREPRESENTATION AND UNSUITABLILITY WITH REGARD TO MUTUAL FUNDS PURCHASED BETWEEN 1/06 AND 2/07 Damage Amount Requested: $279,000.00 Settlement Amount: $107,951.42
Date: June 29, 2009 Category: Customer Dispute Allegations: CLAIM ALLEGES MISREPRESENTATION AND UNSUITABLILITY WITH REGARD TO MUTUAL FUNDS PURCHASED BETWEEN 6/03AND 4/07 Damage Amount Requested: $116,000.00 Settlement Amount: $29,801.62
Date: November 29, 2004 Category: Customer Dispute Allegations: CLAIM ALLEGES UNSUITABILITY, NEGLIGENCE, MISREPRESENTATION, FRAUD AND NEGLIGENT SUPERVISION REGARDING THE PURCHASE OF HIGH RISK TECH STOCKS AND A UNIT INVESTMENT TRUST IN IRA AND TRUST ACCOUNTS. ALLEGED DAMAGES ARE $449,056 PLUS PUNITIVE DAMAGES, ATTORNEYS FEES, COSTS AND INTERESTS. Settlement Amount: $9,999.00
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