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FINRA Awards for Ameriprise Financial Services.

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Displaying 211-220 out of 316 results
Case Number Award Date Case Summary Customer Case? Amount Granted
13-0117510/22/2013Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Diane C Fischer
Respondent(s): Richard Sexton
Respondent Lawyers(s): Richard Carl Sexton
Arbitrator(s): Samuel H. Chorches
Hearing Site: Manchester, NH
12-0184309/25/2013Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Thomas Cooper
Respondent Lawyers(s): Thomas Stephen Cooper
Arbitrator(s): Randall S. Strause
Hearing Site: Nashville, TN
11-0460609/24/2013Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): James Pilla
Respondent Lawyers(s): Eric R. Breslin
Arbitrator(s): Gregory J. Getz
Hearing Site: New York, NY
13-0092809/06/2013Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Timothy N. Will
Respondent(s): James Henning
Respondent Lawyers(s): James Henning
Arbitrator(s): Ann Blaess Kimball
Hearing Site: Dallas, TX
12-0148108/13/2013Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Paul T. Cahill
Respondent(s): Jay Golden
Respondent Lawyers(s): Curtis Carlson
Arbitrator(s): Gloria O. North, Mark I. Roth, Andrew R. Present
Hearing Site: Ft. Lauderdale, FL
12-0184408/05/2013Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): John Chamblee
Respondent Lawyers(s): John David Chamblee
Arbitrator(s): Robert A. Dean
Hearing Site: Atlanta, GA
12-0124206/05/2013Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward A. Walton
Respondent(s): Walter Russell
Respondent Lawyers(s): David J. Hase
Arbitrator(s): Alex H. Keller
Hearing Site: Columbus, OH
11-0286205/22/2013Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Joseph Dunn
Respondent Lawyers(s): Joseph Dunn
Arbitrator(s): Jeff Kilgore
Hearing Site: Houston, TX
12-0051104/16/2013Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Gerry Giurato
Respondent(s): Paul Renard
Respondent Lawyers(s): Steve Ferris
Arbitrator(s): G. Gale Roberson, Donald V. Anderson, Donald E. Sorensen
Hearing Site: Milwaukee, WI
12-0339804/05/2013Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Dylan Grayson
Respondent Lawyers(s): Dylan Patrick Grayson
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX

316 Results

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