Kevin Scott Kellogg of San Diego California a stockbroker currently employed by Ameriprise Financial Services Inc. is the subject of a customer initiated investment related arbitration claim where the customer sought $247,112.52 in damages founded on accusations that (1) fiduciary duties owed to the customer were not abided by (2) unauthorized transactions were placed in the customer’s account (3) the customer’s investment portfolio was churned (4) equity trades executed in the customer’s account were not suitable for the customer and (5) Ameriprise Financial Services Inc. failed to supervise Kellogg’s excessive and inappropriate trading in the customer’s account. Financial Industry Regulatory Authority (FINRA) Arbitration No. 17-01431 (June 16, 2017).

FINRA Public Disclosure confirms that Kellogg has been identified in two more customer initiated investment related disputes. In particular, on March 30, 2004, a customer filed an investment related complaint involving Kellogg’s activities in which the customer requested unspecified damages based upon allegations that while Kellogg was associated with Banc of America Investment Services Inc., Kellogg inappropriately advised the customer regarding purchases of Federal Home Loan Mortgage Corporation (Freddie Mac) bonds.

Thereafter, on April 11, 2011, a customer filed an investment related complaint regarding Kellogg’s conduct where the customer sought $15,000.00 in damages supported by accusations that while Kellogg was associated with Wells Fargo Investments, LLC, the customer’s wrap account had been negligently administered and the customer’s investment instructions were disregarded.

Kellogg has been registered with Ameriprise Financial Services Inc. since October 22, 2010.

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