WILLIAM PAYNE CLIFTON is currently employed as a Broker and/or Investment Adviser at AMERIPRISE FINANCIAL SERVICES, INC. located at 1907 SW AUTUMNWOOD WAY, PALM CITY, FL, 34990.
WILLIAM PAYNE CLIFTON has worked at AMERIPRISE FINANCIAL SERVICES, INC. since June 29, 1990
Disclosure History
WILLIAM PAYNE CLIFTON has 2 Disclosure Event(s).
Date: May 25, 2011 Category: Customer Dispute Allegations: PLAINTIFF ALLEGES THAT DEFENDANTS RECOMMENDED UNSUITABLE INVESTMENTS, INCLUDING TWO UNIVERSAL LIFE POLICIES AND A VARIABLE ANNUITY. SHE ALLEGES DAMAGES IN EXCESS OF $15,000. Damage Amount Requested: $15,000.00 Settlement Amount: $25,000.00 Broker Comment: THE PARTIES CHOSE TO SETTLE THIS MATTER IN ORDER TO AVOID THE COSTS ASSOCIATED WITH FINRA ARBITRATION.
Date: January 28, 2003 Category: Customer Dispute Allegations: CLIENT ALLEGES HER INVESTMENT STRATEGY WAS INAPPROPRIATE DUE TO HER AGE. Damage Amount Requested: $70,000.00 Broker Comment: THE CLIENT STATED ON SEVERAL OCCASIONS THAT SHE WANTED TO BECOME MORE AGGRESSIVE. HER INVESTMENT PORTFOLIO HAD AN APPROPRIATE MIX FOR HER RISK TOLERANCE. THE ADVISOR COUNSELED THE CLIENT TO REDUCE HER RISK BUT THE CLIENT OPTED TO REMAIN INVESTED AGGRESSIVELY.
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