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
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