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FINRA Awards for Ameriprise Financial Services.

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Displaying 551-559 out of 559 results
Case Number Award Date Case Summary Customer Case? Amount Granted
06-0453004/10/2008Claimant(s): Rendal Dotson
Claimant Lawyers(s): Sandor Grossman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Aaron R. Hartman
Arbitrator(s): John "Jack" W. Rader, Stuart H. Dunn, Carol M. Stoner
Hearing Site: Charleston, WV
Checkmark Icon$0
07-0011504/03/2008Claimant(s): William Carpenter
Claimant Lawyers(s): Matthew W. Woodruff
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Eric E. Reed
Arbitrator(s): Boyd H. Scheff, Abe I. Shtulsaft, Angela Lourdes Ortiz
Hearing Site: New York, NY
Checkmark Icon$108,370
07-0266902/26/2008Claimant(s): Gerald Crawford
Claimant Lawyers(s): Gerald K. Crawford
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): David Flower
Arbitrator(s): Michael J. Fish
Hearing Site: San Francisco, CA
Checkmark Icon$0
07-0011702/15/2008Claimant(s): David Franck
Claimant Lawyers(s): Debra Hayes
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Gretchen A. Agee
Arbitrator(s): Gary L. Vezina, James G. Harlan, Dale G. Higer
Hearing Site: Boise, ID
Checkmark Icon$264,485
07-0071001/31/2008Claimant(s): Cliff Naparsteck
Claimant Lawyers(s): Cliff Martin Naparsteck
Respondent(s): Ameriprise Financial Services., John Schoppe
Respondent Lawyers(s): Neils P. Murphy
Arbitrator(s): Arnold B. Galperin
Hearing Site: Boca Raton, FL
06-0291311/27/2007Claimant(s): Darrell W. and Diana M. Williams
Claimant Lawyers(s): Mark T. Womack
Respondent(s): Ameriprise Financial Services., Stephen Hamilton, IDS Life Insurance Company
Respondent Lawyers(s): Thomas A. Roberts
Arbitrator(s): Thomas H. Griffin, W. Merrill Glasgow, Alan M. Holzberg
Hearing Site: Houston, TX
Checkmark Icon$0
06-0531810/25/2007Claimant(s): Ann Serrato
Claimant Lawyers(s): Michael C. Deutsch
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s): Jerry H. Friedland, Richard I. Topus, Barbara Mark-Dreyfuss
Hearing Site: Phoenix, AZ
06-0445610/09/2007Claimant(s):
Claimant Lawyers(s):
Respondent(s): Ameriprise Financial Services., James Krieg, Todd Glaw
Respondent Lawyers(s): Gail E. Boliver, John Rock
Arbitrator(s): Timothy E. Taggart, Michael I. White, Lawrence P. McLellan
Hearing Site: Des Moines, IA
Checkmark Icon$0
05-0607608/10/2007Claimant(s): Saralyn Ingram
Claimant Lawyers(s): Robert Grant
Respondent(s): Ameriprise Financial Services., Kenneth DiCairano
Respondent Lawyers(s): Michael Zaretsky
Arbitrator(s): Martin H. Zern, Mary Ellen Burns, Eric Howard Kunis
Hearing Site: New York, NY
Checkmark Icon$0

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