| 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 |
| 21-00002 | 08/18/2022 | Claimant(s): Michael Gutt
Claimant Lawyers(s): John M. O'Toole
Respondent(s): Ameriprise Financial Services., Steven Sterchele
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Ray J. Grzebielski, Howard T. Goffen, Lisa M. Krimen
Hearing Site: Chicago, IL
| | Expungement |
| 21-01175 | 06/02/2022 | Claimant(s): Sean Caston
Claimant Lawyers(s): Sean D Caston
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): June McLaughlin, Elizabeth Anne Moreno, Jack R. Goetz
Hearing Site: Los Angeles, CA
| | |
| 21-01662 | 05/04/2022 | Claimant(s): Steven Kanowitz
Claimant Lawyers(s): Christine Lazaro
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Richard W. Cutler
Hearing Site: New York, NY
| | $1,731 |
| 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 |
| 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 |
| 18-04341 | 11/23/2021 | Claimant(s): Donna Benabou, Raphael Benabou
Claimant Lawyers(s): Raphael Benabou
Respondent(s): Ameriprise Financial Services, James Korzik, Robert Korzik
Respondent Lawyers(s): Kevin Galbraith, Sydney H. Crowder
Arbitrator(s): Francis Carling
Hearing Site: New York, NY
| | $0 |
| 20-03296 | 10/22/2021 | Claimant(s): Andrew Chisholm
Claimant Lawyers(s): Jason J. Kane
Respondent(s): Ameriprise Financial Services, Michael Cooper
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Camille S. Cooper, Ellyn S. Roth, Charlane Brown
Hearing Site: New York, NY
| | $0 |
| 21-01274 | 09/22/2021 | Claimant(s): Hailey Woolf ESA, Hailey Woolf UTMA, Walker Woolf ESA, Walker Woolf UTMA, Melissa Woolf Roth IRA, Melissa Woolf r/o IRA, Steven Woolf Roth IRA, Steven & Melissa Woolf Joint
Claimant Lawyers(s): Steven Woolf
Respondent(s): Ameriprise Financial Services., Wells Fargo Clearing Services, Jonathan Mirer, Michael Swinehart
Respondent Lawyers(s): Jeffery D. Rodgers, Sydney H. Crowder
Arbitrator(s): Joyce A. Mitchell
Hearing Site: Charlotte, NC
| | $0 |
| 19-01891 | 12/18/2019 | Claimant(s): Toby Hazel
Claimant Lawyers(s): Toby S. Hazel
Respondent(s): David Hall, Ameriprise Financial Services.
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Jon H. Sylvester
Hearing Site: Honolulu, HI
| | $0 |
