| 23-01770 | 09/16/2024 | Claimant(s): Anne Connell-Freund
Claimant Lawyers(s): Jason T. Albin
Respondent(s): Derek Crihfield, Ameriprise Financial Services
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Lynn Hirschfeld Brahin, Robert M Lustig, Adeladi Williams
Hearing Site: Cleveland, OH
|  | $0 |
| 19-03217 | 08/13/2024 | Claimant(s): Narinder Gupta, Suman Gupta
Claimant Lawyers(s): Narinder Gupta, Suman D. Gupta
Respondent(s): Ameriprise Financial Services, Michael Hannon
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Lynne R. Stern, Karen Roberts Washington, Genevieve Anderson
Hearing Site: New Orleans, LA
| | Expungement |
| 23-03176 | 05/30/2024 | Claimant(s): Stephen Ferguson
Claimant Lawyers(s): Stephen Ferguson
Respondent(s): Ameriprise Financial Services, Mark Giordano, Riversource Distributors.
Respondent Lawyers(s): Sydney Crowder Franco
Arbitrator(s): Cynthia A. DiMarco
Hearing Site: New York, NY
| | $0 |
| 22-01112 | 03/09/2023 | Claimant(s): Sandra Lucido, Vincent Lucido
Claimant Lawyers(s): Sandra N Lucido, Vincent S Lucido
Respondent(s): Ameriprise Financial Services., Ameriprise Financial Services, Reza Taraz, Riversource Distributors.
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Barbara M. Zak
Hearing Site: Los Angeles, CA
| | $0 |
| 18-03985 | 04/14/2022 | Claimant(s): Johana Gerheim, Richard Bucci, Richard Bucci as Cust for Caroline Bucci, Richard Bucci as Cust for Johana A Bucci, Richard Bucci Ameriprise One Financial, Richard Bucci Cash Reserve Certificate, Richard Bucci IRA Strategic Portfolio, Richard Bucci RiverSource Flex Portfolio, Richard Bucci Rollover IRA RiverSource, Richard Bucci Roth Conv IRA 0002461455, Richard Bucci Roth Conv IRA Ameriprise, Richard Bucci Roth Conv IRA RiverSource, Richard Bucci Roth Conv IRA Strategic, Richard Bucci SEP IRA 0002461454 Ameripr, Richard Bucci SEP IRA 0002461454 Strateg, Richard Bucci SEP IRA Ameriprise Brokera, Richard Bucci SEP IRA StrategicPortfolio, Richard Bucci SPS Advantage With One, Richard Bucci MD Living Trust Ameriprise, Richard Bucci MD Living Trust SPS Advant
Claimant Lawyers(s): Charles M Thompson
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Karen Roberts Washington, Orville Barrington Wright, Glenn Ivan Mazer
Hearing Site: Birmingham, AL
| | Expungement |
| 20-03293 | 03/24/2022 | Claimant(s): Jeffrey Trosen, Susan Trosen
Claimant Lawyers(s): Michael S. Hill
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): John J. Fitzpatrick, Jonathan H. Krotinger, Lynn Hirschfeld Brahin
Hearing Site: Bismarck, ND
| | $70,000 |
| 21-02115 | 01/12/2022 | Claimant(s): John L. Hillhouse
Claimant Lawyers(s): John L. Hillhouse
Respondent(s): Antwan Cork, Ameriprise Financial Services, Victor Israel
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Brian James Tagtmeier
Hearing Site: Houston, TX
| | $0 |
| 19-01813 | 12/31/2021 | Claimant(s): Dale Hadel, Global Technology., Dale Hadel Family Trust
Claimant Lawyers(s): Mark Kowalsky
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Edward Walton
Arbitrator(s): Patrick R. Sughroue, Earlene R. Baggett-Hayes, Dale Frederick Feigley
Hearing Site: Detroit, MI
| | $0 |
| 19-03014 | 12/22/2021 | Claimant(s): Nuha Rukieh
Claimant Lawyers(s): Dennis Murray
Respondent(s): Andrey Ilyasov, Ameriprise Financial Services
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Patrick R. Sughroue, Sandra Jo Baumchen, Sheldon Jacob Stark
Hearing Site: Detroit, MI
| | $0 |
| 19-03704 | 12/02/2021 | Claimant(s): Robert Henning
Claimant Lawyers(s): Dawn Gibbons
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Sydney Crowder
Arbitrator(s): Robert J. Scafuri
Hearing Site: Detroit, MI
| | $0 |
