ULI OLIVER P MUELLER is currently employed as a Broker and/or Investment Adviser at AMERIPRISE FINANCIAL SERVICES, INC. located at 2520 N BEECH LN, STE A, GREENSBORO, NC, 27455.
ULI OLIVER P MUELLER has worked at AMERIPRISE FINANCIAL SERVICES, INC. since December 17, 2004
Disclosure History
ULI OLIVER P MUELLER has 1 Disclosure Event(s).
Date: May 28, 2002 Category: Customer Dispute Allegations: THE CLIENT ALLEGED I RECOMMENDED UNSUITABLE INVESTMENT PRODUCTS FOR HER AGE AND RISK TOLERANCE. FURTHER, THE CLIENT CLAIMED I DID NOT FOLLOW HER INSTRUCTIONS TO SAFEGUARD HER PRINCIPAL. Damage Amount Requested: $118,956.63 Broker Comment: THE ANNUITY FELL WITHIN A COURT APPROVED CLASS ACTION SETTLEMENT. UNDER THE TERMS OF THE SETTLEMENT, THE CLIENT ELECTED CLAIMS REVIEW WITHIN THE CLASS AND THUS NO ACTION WAS TAKEN THROGUTH THE NORMAL COMPLAINT RESOLUTION PROCESS. THE FIRM FOUND I PROVIDED THE CLIENT FULL AND FAIR DISCLOSURE FOR ALL THE INVESTMENT PRODUCTS SHE PURCHASED AND THE PRODUCTS WERE SUITABLE FOR HER AGE, GOALS, OBJECTIVES AND RISK TOLERANCE.
More Information
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