FINRA Awards for Ameriprise Financial Services.

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Displaying 461-470 out of 559 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
10-03580	10/12/2011	Claimant(s): Jerry Douglas Claimant Lawyers(s): R. Allen Kilgore Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): Frank W. Virgin, Ronald Griffith Wilkins, E. Trice Laird Hearing Site: Birmingham, AL		Expungement
10-04186	09/16/2011	Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Edward Walton Respondent(s): Glenn Holbert Respondent Lawyers(s): Glenn Edward Holbert Arbitrator(s): Mary Margaret Bush Hearing Site: San Francisco, CA
10-02949	09/13/2011	Claimant(s): Eugene Russo, Mary Cammarano Claimant Lawyers(s): Benjamin Lapin Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Michael Zaretsky Arbitrator(s): Leona Beane, Harold Glenn Stafford, David J. Weisenfeld Hearing Site: New York, NY		Expungement
10-02653	08/18/2011	Claimant(s): Larry Merritt Claimant Lawyers(s): Regina S. Molden Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Edward B. Magarian Arbitrator(s): Franklin Raymond McIntyre, John F. Allgood, John F. O'Neill Hearing Site: Atlanta, GA
10-04487	08/17/2011	Claimant(s): John Sullivan Claimant Lawyers(s): John F. Sullivan Respondent(s): Andrew Kistler, Anthony Juliano, Christopher Zelesnick, Ameriprise Advisor Services., Douglas Aldridge, Frank Teodosio, Ameriprise Financial Services., Joan Cohen, Kathleen Dedenbach, Michael Barrella Respondent Lawyers(s): Julie Fleming-Wolfe Arbitrator(s): Alfred P. Reeves, Steven Ira Weinberger, Ellen J. Abrams Hearing Site: Boca Raton, FL
11-00944	08/12/2011	Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Edward Walton Respondent(s): Gary Sargent Respondent Lawyers(s): Stuart H. Deming Arbitrator(s): Benjamin A. Kerner Hearing Site: Detroit, MI
11-00970	08/02/2011	Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Michael Hegyan Respondent Lawyers(s): Michael G. Hegyan Arbitrator(s): Jeffrey W. Finke Hearing Site: Chicago, IL
09-05498	07/29/2011	Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Edward B. Magarian Respondent(s): Todd Feldman Respondent Lawyers(s): Willard Knox Arbitrator(s): Edward M. Statland, E. William Pastor, Robert Vaughan Cornish Hearing Site: Washington, DC
10-03226	07/20/2011	Claimant(s): Ann Ozark Claimant Lawyers(s): Joseph L. Ozark Respondent(s): Ameriprise Financial Services., Joyce Hoban Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): Bernard Herman Hearing Site: Philadelphia, PA		$75
10-03354	07/14/2011	Claimant(s): Ned Feldenkreis Claimant Lawyers(s): Debra G. Speyer Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Edward Walton Arbitrator(s): Benjamin F. Richards, Doris J. Dabrowski, John Michael Derderian Hearing Site: Philadelphia, PA		$0