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FINRA Awards for Ameriprise Financial Services.

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Displaying 91-100 out of 316 results
Case Number Award Date Case Summary Customer Case? Amount Granted
18-0081512/04/2018Claimant(s): Vincent Camarda
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): A. Rene Hollyer
Hearing Site: New York, NY
18-0060612/03/2018Claimant(s): Karekin Kaprelian
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): John H. Fearnow
Hearing Site: Phoenix, AZ
16-0347011/29/2018Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Darren Jurick
Respondent Lawyers(s): Lawrence M. Schantz
Arbitrator(s): Steven R. Reininger
Hearing Site: Boca Raton, FL
17-0187010/25/2018Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Randyl Taber
Respondent Lawyers(s): Gail Boliver
Arbitrator(s): Robert J. Scafuri, Mark A. Frankel, Robert D Lawson
Hearing Site: Des Moines, IA
18-0149510/22/2018Claimant(s): Denise Palmer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Steven T. Stern
Hearing Site: Montpelier, VT
16-0240210/17/2018Claimant(s): Cecelia Darden
Claimant Lawyers(s): Michael Hill
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Donald Theodore Ryce, Brian Arthur Rubino, Daniel Nathan Schatz
Hearing Site: Boca Raton, FL
17-0289010/11/2018Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Dorothy Powers
Respondent Lawyers(s): Dorothy Greppin Powers
Arbitrator(s): Morris S. Getzels, Edwin John Apenbrink, William Ogburn Huggins
Hearing Site: Las Vegas, NV
16-0346409/21/2018Claimant(s): Bart Tarulli
Claimant Lawyers(s): Bart Tarulli
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Jean C. Black, Ellyn S. Roth, Albert Rizzo
Hearing Site: New York, NY
17-0197609/12/2018Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): James Heilgeist
Respondent Lawyers(s): James Andrew Heilgeist
Arbitrator(s): Stuart D. Summers, Susanne J. Hollander, Carol Rivers
Hearing Site: Chicago, IL
17-0171308/28/2018Claimant(s): Lawrence Sangirardi
Claimant Lawyers(s): David E. Mollon
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Susan C. Lushing, Wayne I. Harris, Vincent Mark Riccordella
Hearing Site: New York, NY

316 Results

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