VICTOR ALEXANDER KOBY is currently employed as a Broker and/or Investment Adviser at AMERIPRISE FINANCIAL SERVICES, INC. located at 8910 UNIVERSITY CENTER LN, STE 200, SAN DIEGO, CA, 92122-1023.
VICTOR ALEXANDER KOBY has worked at AMERIPRISE FINANCIAL SERVICES, INC. since October 05, 2009
Disclosure History
VICTOR ALEXANDER KOBY has 2 Disclosure Event(s).
Date: July 27, 2009 Category: Customer Dispute Allegations: TRUSTEE ALLEGES BREACH OF FIDUCIARY DUTY, CHURNING, FINANCIAL ELDER ABUSE; SUITABILITY; BREACH OF FIDUCIARY DUTY; CHURNING; UNAUTHORIZED TRADING, MISREPRESENTATION/NON-DISCLOSURE, BREACH OF CONTRACT AND NEGLIGENCE IN CONNECTION WITH TRANSACTIONS IN APRIL 2007. Damage Amount Requested: $210,641.00 Damages Granted: $210,641.00 Broker Comment: RESPONDENT IS JOINTLY AND SEVERALLY LIABLE AND SHALL PAY COMPENSATORY DAMAGES TO CLAIMANT IN THE AMOUNT OF $210,641.00. RESPONDENT IS JOINTLY AND SEVERALLY LIABLE FOR AND SHALL PAY TO THE CLAIMANT INTEREST ON THE SUM OF $210,641.00 AT THE RATE OF 10% PER ANNUM FROM NOVEMBER 6, 2010 TO THE DATE THE AWARD IS PAID IN FULL AS PROVIDED UNDER THE CALIFORNIA LAW ON JUDGMENTS. THIS TRUST ACCOUNT WAS INVESTED IN CALIFORNIA MUNICIPAL BOONDS AND HAD A TOTAL NET RETURN OF OVER $632,000.
Date: April 30, 2007 Category: Customer Dispute Allegations: CALIFORNIA TRUSTEE STATES THAT ALL TRADES IN AN ACCOUNT WERE UNAUTHORIZED ON 4/24/07 THROUGH 4/30/07. COSTS TO UNDO THE TRADES ARE APPROXIMATELY $68,000. Damage Amount Requested: $68,000.00 Broker Comment: WACHOVIA SECURITIES AND FINANCIAL ADVISOR FULLY AND COMPLETELY DENY ALL CLAIMS BY CLIENT. CANCELLED A SMALL PORTION OF TRADES IN THE ACCOUNT ON 5/22/07 SOLELY IN THE INTEREST OF CLIENT RELATIONS ONLY, WITHOUT ANY ADMISSION OF LIABILITY WHICH WAS EXPRESSLY DENIED.
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