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FINRA Awards for Ameriprise Financial Services.

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Displaying 141-150 out of 316 results
Case Number Award Date Case Summary Customer Case? Amount Granted
15-0103511/16/2016Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Scott A. La Porta
Respondent(s): Steven Owen
Respondent Lawyers(s): Steven H. Owen
Arbitrator(s): G. Maynard Green
Hearing Site: Dallas, TX
14-0213510/07/2016Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): James Dickey
Respondent Lawyers(s): James Dickey
Arbitrator(s): Erick R. Zanner, Kevin R. Zehe, Robert L. Washburn
Hearing Site: Columbus, OH
14-0010609/09/2016Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael Taaffe
Respondent(s): Terrence Daniels
Respondent Lawyers(s): Mark David Hunter
Arbitrator(s):
Hearing Site: New York, NY
15-0105208/10/2016Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Scott A. La Porta
Respondent(s): Leonard Stover
Respondent Lawyers(s): Leonard Gregory Stover
Arbitrator(s): John C. Aten
Hearing Site: Cleveland, OH
14-0263708/04/2016Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Thomas McDevitt
Respondent Lawyers(s): Thomas McDevitt
Arbitrator(s): Steven T. Stern, Alan M. Schankel, Rochelle K. Kaplan
Hearing Site: Philadelphia, PA
16-0052907/27/2016Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Lawrence Bogar
Respondent Lawyers(s): Lawrence K. Bogar
Arbitrator(s): Neal D. Baker
Hearing Site: Newark, NJ
15-0231906/16/2016Claimant(s): Camille Gagliardi
Claimant Lawyers(s): Douglas A. Cho
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Kalusmeier
Arbitrator(s): Karimu F. Hill-Harvey
Hearing Site: Hartford, CT
14-0092905/17/2016Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Chadwick Hargis
Respondent Lawyers(s): Chadwick Lynn Hargis
Arbitrator(s): Mark R. Topper
Hearing Site: Orlando, FL
16-0011904/29/2016Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Stephen Vaughan
Respondent Lawyers(s): Stephen A. Vaughan
Arbitrator(s):
Hearing Site: Houston, TX
14-0336104/01/2016Claimant(s): Jack Griffith
Claimant Lawyers(s): Amy Hill
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Gerry A. Giurato
Arbitrator(s):
Hearing Site: Columbia, SC

316 Results

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