FINRA Awards for Ameriprise Financial Services.

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Displaying 201-210 out of 559 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
16-00116	03/10/2017	Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Michael S. Taaffe Respondent(s): James Mewborn Respondent Lawyers(s): James William Mewborn Arbitrator(s): Mimi B. Osiason Hearing Site: Tampa, FL
16-03418	03/10/2017	Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Michael S. Taaffe Respondent(s): Jeffrey Ickes Respondent Lawyers(s): Jeffrey Scott Ickes Arbitrator(s): Jim Geiger Hearing Site: Wilmington, DE
16-03416	03/01/2017	Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Thomas P. Dillon Respondent(s): Erik Kneip Respondent Lawyers(s): Erick Robert Kneip Arbitrator(s): Michael J. Meeusen Hearing Site: Cleveland, OH
16-03136	02/24/2017	Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Michael S. Taaffe Respondent(s): Robert Furciato Respondent Lawyers(s): Robert Furciato Arbitrator(s): S. Charles Tabak Hearing Site: Newark, NJ
15-02834	02/07/2017	Claimant(s): Michael Hanke Claimant Lawyers(s): Daniel P. Dietrich Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Edward A. Walton Arbitrator(s): Langfred W. White, Patricia Gunn, Thomas J. Patka Hearing Site: Tampa, FL
16-01866	02/07/2017	Claimant(s): David Miller Claimant Lawyers(s): Ronald M. Amato Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): Chandler R Bridges, Michael J. Stern, John F. Allgood Hearing Site: Atlanta, GA
16-02431	01/30/2017	Claimant(s): Thomas Freitag Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): Jonathan B. Gilbert Hearing Site: Milwaukee, WI
16-02677	12/30/2016	Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Michael S. Taaffe Respondent(s): James Rettig Respondent Lawyers(s): James Robert Rettig Arbitrator(s): Mimi B. Osiason Hearing Site: Tampa, FL
16-01391	12/19/2016	Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Michael S. Taaffe Respondent(s): Jay Davis Respondent Lawyers(s): Jay Robert Davis Arbitrator(s): Ronald G. Johnson, C. Sumpter Logan, Edward J. Lynch Hearing Site: Dallas, TX
15-02852	12/06/2016	Claimant(s): George Fradette, Irene Fradette Claimant Lawyers(s): Richard E. Fradette Respondent(s): Ameriprise Financial Services., Michael Humphries Respondent Lawyers(s): Edward A. Walton Arbitrator(s): Samuel H. Chorches Hearing Site: Manchester, NH		Expungement