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FINRA Awards for American Enterprise Investment Services

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Case Number Award Date Case Summary Customer Case? Amount Granted
20-0154707/20/2021Claimant(s): Ameriprise Financial Services, American Enterprise Investment Services
Claimant Lawyers(s): Edward A. Walton
Respondent(s): Mariam Silverman, M Silverman Living Trust dated 12/5/18
Respondent Lawyers(s): Jeffrey Kaplan
Arbitrator(s): David P. Slater, Richard J. Kaplan, Alessandra Piras Torrens
Hearing Site: Boca Raton, FL
Checkmark Icon$0
12-0158506/18/2014Claimant(s): Lilred
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Ameriprise Financial Services., American Enterprise Investment Services
Respondent Lawyers(s): Neils P. Murphy
Arbitrator(s): Edward R. Niederriter, Howard L. Conklin
Hearing Site: Boca Raton, FL
Checkmark Icon$0

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