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FINRA Awards for Ameriprise Financial Services.

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Displaying 31-40 out of 559 results
Case Number Award Date Case Summary Customer Case? Amount Granted
21-0024706/22/2023Claimant(s): Rance Wallace
Claimant Lawyers(s): Michael Hill
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): John James Rubin
Hearing Site: Atlanta, GA
Checkmark IconExpungement
22-0241806/16/2023Claimant(s): Christopher Tong
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Madelon M. Rosenfeld
Hearing Site: New York, NY
22-0240406/14/2023Claimant(s): Kimberlee Orth
Claimant Lawyers(s): Jonathan M. Sterling
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Morton S. Bunis
Hearing Site: Wilmington, DE
20-0418606/05/2023Claimant(s): Chad Tenkley IRA
Claimant Lawyers(s): Michael Hill
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): Martin M. Van Luven
Hearing Site: Tampa, FL
Checkmark IconExpungement
20-0390405/30/2023Claimant(s): Mona Petrocine
Claimant Lawyers(s): Martin Asatrian
Respondent(s): David Turetzky, Ameriprise Financial Services., Marlene Yacenda
Respondent Lawyers(s): Michael J. Zaretsky
Arbitrator(s): Paul J. Camilleri, Annamaria Boccia Smith, William A. Rome
Hearing Site: New York, NY
Checkmark Icon$0
20-0395505/17/2023Claimant(s): Isabelita Wijangco, Isabelita Wijangco IRA, Isabelita Wijangco Revocable Trust
Claimant Lawyers(s): Michael A. Valenti
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Richard W. Dissen
Hearing Site: Louisville, KY
Checkmark IconExpungement
21-0138405/10/2023Claimant(s): Joseph Caldwell
Claimant Lawyers(s): Joseph D. Caldwell
Respondent(s): Anjani Prabhu, Ameriprise Financial Services.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): Michael A. Orticelle
Hearing Site: Syracuse, NY
Checkmark IconExpungement
21-0299303/13/2023Claimant(s): Sheila Gambrel, The Jean O. King Trust
Claimant Lawyers(s): Robert C. Stokes
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): Richard S. Zaifert, Gary E. Marcus, Carolyn E. Moore
Hearing Site: Tampa, FL
Checkmark Icon$0
22-0111203/09/2023Claimant(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
Checkmark Icon$0
22-0067802/21/2023Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Scott A. LaPorta
Respondent(s): Kenneth Schaefer
Respondent Lawyers(s): Kenneth Gerard Schaefer
Arbitrator(s): Peter Svorinic, John James McGovern, Jud Perkins
Hearing Site: Providence, RI

559 Results

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