WILLIAM HARVEY MCCALL

WILLIAM HARVEY MCCALL is currently employed as a Broker and/or Investment Adviser at AMERIPRISE FINANCIAL SERVICES, INC. located at 320 N CEDAR BLUFF RD, STE 102, KNOXVILLE, TN, 37923-4520.

WILLIAM HARVEY MCCALL has worked at AMERIPRISE FINANCIAL SERVICES, INC. since January 15, 2014

Disclosure History

WILLIAM HARVEY MCCALL has 2 Disclosure Event(s).

Date: September 15, 2008
Category: Customer Dispute
Allegations: CLIENT CLAIMS ORDERS TO LIQUIDATE BOND POSITIONS (LEH.HGY & LEH.FAA) WERE NOT EXECUTED ACCORDING TO INSTRUCTIONS
Damage Amount Requested: $91,245.00
Settlement Amount: $91,425.00

Date: November 25, 1992
Category: Customer Dispute
Allegations: MISREPRESENTATION AND UNSUITABILITY OFTRADES. ALLEGED DAMAGES IN EXCESS OF $35,000.00. PREFERREDSTOCK-FIRST EXECUTIVE CORP.
Damage Amount Requested: $35,000.00
Settlement Amount: $22,000.00
Broker Comment: PRUDENTIAL SECURITIES PAID $22,000.00 TO [CUSTOMER].WILLIAM MCCALL DID NOT CONTRIBUTE TO THESETTLEMENT. PRUDENTIAL SECURITIES

More Information

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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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