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FINRA Awards for Ameriprise Financial Services.

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Displaying 251-260 out of 559 results
Case Number Award Date Case Summary Customer Case? Amount Granted
14-0328612/01/2015Claimant(s): Heather Law, Kenneth Law
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Michael P. Marryshow
Hearing Site: Philadelphia, PA
Checkmark Icon$0
14-0294011/20/2015Claimant(s): Marilyn Mungo, Thomas Mungo
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Stuart K. Furman
Hearing Site: Orlando, FL
Checkmark IconExpungement
15-0191011/09/2015Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): William M. Getzoff
Hearing Site: Minneapolis, MN
14-0314211/03/2015Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Barry Blount
Respondent Lawyers(s): Barry Boyd Blount
Arbitrator(s): John J. Jordan
Hearing Site: Philadelphia, PA
14-0182610/23/2015Claimant(s): Allan Levine
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Biagio A. Civale, Paul S. Biederman, Joseph I. Liebman
Hearing Site: New York, NY
Checkmark IconExpungement
14-0234410/14/2015Claimant(s): Anthony J. Gimelli Revocable Trust
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Herb Schwartz
Hearing Site: San Francisco, CA
Checkmark IconExpungement
14-0277710/02/2015Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Alan Blecker
Respondent Lawyers(s): Brian J. Neville
Arbitrator(s): Bernard M. Levine
Hearing Site: Newark, NJ
15-0099809/28/2015Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Scott A. La Porta
Respondent(s): William Eisner
Respondent Lawyers(s): William L. Eisner
Arbitrator(s): Robert M. Goldstein
Hearing Site: New York, NY
14-0263009/24/2015Claimant(s): Gordon Hirsch
Claimant Lawyers(s): Michael D. Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Thaddeus J. Tecza
Hearing Site: Albuquerque, NM
Checkmark IconExpungement
13-0096509/11/2015Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Victor Walker
Respondent Lawyers(s): Marcellous S. McZeal
Arbitrator(s): Bernard D. Hammer, Donald K. Eckhardt, Christine L. Stetson
Hearing Site: Houston, TX

559 Results

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