STEVEN LEON FLACK

STEVEN LEON FLACK is currently employed as a Broker and/or Investment Adviser at AMERIPRISE FINANCIAL SERVICES, INC. located at 2708 BICENTENNIAL DRIVE, SUITE B, CEDAR FALLS, IA, 50613.

STEVEN LEON FLACK has worked at AMERIPRISE FINANCIAL SERVICES, INC. since October 10, 1996

Disclosure History

STEVEN LEON FLACK has 1 Disclosure Event(s).

Date: January 22, 2009
Category: Customer Dispute
Allegations: THE CLIENT ALLEGED HER ADVISOR MADE RECOMMENDATIONS THAT WERE NOT IN HER BEST INTEREST. THE MUTUAL FUNDS WERE PURCHASED BETWEEN 2001 AND 2007.
Damage Amount Requested: $5,000.00
Broker Comment: THE FIRM FOUND THE ADVISOR'S RECOMMENDATIONS WERE IN LINE WITH THE CLIENT'S STATED GOALS,RISK TOLERANCE AND INVESTMENT TIME FRAME. ADDITIONALLY, THE FIRM FOUND FULL DISCLOSURE REGARDING THE FEES RELATED TO THE CLIENT'S MUTUAL FUND PURCHASES WERE PROVIDED TO THE CLIENT.

More Information

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