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FINRA Awards for Ameriprise Financial Services.

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Displaying 10 out of 316 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0254408/26/2024Claimant(s): Andre Selfa
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Michael D. Weiner, Mark Lee Haggard, Ian Matthew Green
Hearing Site: Portland, OR
23-0282908/06/2024Claimant(s): Augustine Choi
Claimant Lawyers(s): Peter Lindholm
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Thomas R. Watkins
Hearing Site: Los Angeles, CA
24-0004108/05/2024Claimant(s): Andrew Schelitzche
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Frederick Ramos
Hearing Site: Minneapolis, MN
23-0282108/02/2024Claimant(s): Joseph Liana
Claimant Lawyers(s): Peter Lindholm
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): James M. Rhodes
Hearing Site: New York, NY
23-0287907/16/2024Claimant(s): Carrie-Beth Randall
Claimant Lawyers(s): William F. Ray
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Langfred W. White, Harvey R. Linder, Laree Payne Kennedy
Hearing Site: Jackson, MS
24-0024907/15/2024Claimant(s): Kevin Houser
Claimant Lawyers(s): Lawton R. Graves
Respondent(s): LPL Financial LLC, Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier, Jon D. Kaplon
Arbitrator(s): Nancy E. Watters, Daniel James Kortum, Mark A Bilawsky
Hearing Site: Philadelphia, PA
23-0278106/18/2024Claimant(s): Gary Nuccio, Matthew Nuccio
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): A. Rene Hollyer
Hearing Site: New York, NY
23-0297106/04/2024Claimant(s): Bryan Knudson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Phyllis Karasov
Hearing Site: Des Moines, IA
23-0280705/20/2024Claimant(s): Nicholas Efthemis
Claimant Lawyers(s): Peter Lindholm
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Richard W. Dissen
Hearing Site: Buffalo, NY
23-0319804/24/2024Claimant(s): Dean Donohue
Claimant Lawyers(s): Lawton R. Graves
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Douglas M. Branson, J.G. Long, Shawn Ridgell
Hearing Site: Louisville, KY

316 Results

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