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FINRA Awards for Ameriprise Financial Services

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Displaying 51-58 out of 58 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0100607/09/2020Claimant(s): Ameriprise Financial Services
Claimant Lawyers(s): Louis M. Ciavaarra
Respondent(s): Paul Stanford
Respondent Lawyers(s): Paul Stanford
Arbitrator(s): Michael P. Breton
Hearing Site: Boston, MA
18-0027610/02/2018Claimant(s): Michael Sangirardi
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Lynne M. Reid-McQueen
Hearing Site: New York, NY
18-0012309/28/2018Claimant(s): Gregory Hester
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Thomas A. Martin
Hearing Site: Oklahoma City, OK
18-0010709/10/2018Claimant(s): James Lee
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Steven T. Stern
Hearing Site: Wilmington, DE
18-0042008/16/2018Claimant(s): Ameriprise Financial Services
Claimant Lawyers(s): Miles D. Hart
Respondent(s): Frederick Miller
Respondent Lawyers(s): Frederick Michael Miller
Arbitrator(s): Martin Brosnan
Hearing Site: Detroit, MI
18-0024408/10/2018Claimant(s): Mykel Barnes
Claimant Lawyers(s): John A. Hubbard
Respondent(s): Ameriprise Financial Services, Fifth Third Securities.
Respondent Lawyers(s): Allan S. Rubin, Howard M. Klausmeier
Arbitrator(s): Patrick R. Sughroue
Hearing Site: Detroit, MI
18-0007706/26/2018Claimant(s): Ameriprise Financial Services
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Michael Durgin
Respondent Lawyers(s): Michael Patrick Durgin
Arbitrator(s): James R. Collins
Hearing Site: Boston, MA
18-0022205/24/2018Claimant(s): Ameriprise Financial Services
Claimant Lawyers(s): Michael S Taaffe
Respondent(s): Fadi Soliman
Respondent Lawyers(s): Fadi Sami Soliman
Arbitrator(s): John J. Jordan
Hearing Site: Philadelphia, PA

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