FINRA Awards for Ameriprise Financial Services

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

Displaying 41-50 out of 75 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
20-02202	03/24/2021	Claimant(s): Scott Tiras Claimant Lawyers(s): Jonathan M. Sterling Respondent(s): Ameriprise Financial Services Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): Sherry R. Wetsch Hearing Site: Houston, TX
20-02598	03/23/2021	Claimant(s): Christopher Petrik Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Ameriprise Financial Services Respondent Lawyers(s): Howard Klausmeier Arbitrator(s): Robert J. Ambrogi Hearing Site: Boston, MA
20-03114	03/22/2021	Claimant(s): Darrell Pennington Claimant Lawyers(s): Jonathan M. Sterling Respondent(s): Ameriprise Financial Services Respondent Lawyers(s): Howard Klausmeier Arbitrator(s): Allan R. Lazor Hearing Site: Houston, TX
20-02578	03/19/2021	Claimant(s): Daniel Bodemeijer Claimant Lawyers(s): Kurt Zimmerman Respondent(s): Ameriprise Financial Services Respondent Lawyers(s): Howard Klausmeier Arbitrator(s): Mary M. O'Neil Hearing Site: Los Angeles, CA
20-01368	03/12/2021	Claimant(s): Erin Murphy Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Ameriprise Financial Services Respondent Lawyers(s): Howard Klausmeier Arbitrator(s): Patrick R. Westerkamp Hearing Site: Providence, RI
20-02374	03/11/2021	Claimant(s): Caroline Girgis Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Ameriprise Financial Services Respondent Lawyers(s): Howard Klausmeier Arbitrator(s): John James McGovern Hearing Site: Wilmington, DE
19-02741	03/04/2021	Claimant(s): Jonathan Siegel Claimant Lawyers(s): Bradford M. Gucciardo Respondent(s): Ameriprise Financial Services Respondent Lawyers(s): Timothy N. Will Arbitrator(s): Edith N. Dinneen, Kenneth M. Weinman, Michael John Florio Hearing Site: Los Angeles, CA		Expungement
20-02133	02/16/2021	Claimant(s): Richard Pierce Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Ameriprise Financial Services Respondent Lawyers(s): Howard Klausmeier Arbitrator(s): Mark A. Sipper Hearing Site: Columbus, OH
20-01699	02/12/2021	Claimant(s): Ameriprise Financial Services Claimant Lawyers(s): Scott A. La Porta Respondent(s): Leslie Markus Respondent Lawyers(s): Leslie George Markus Arbitrator(s): Edward T. Borer, Mark H. Stein, Larry Cheskawich Hearing Site: Philadelphia, PA
20-02163	02/11/2021	Claimant(s): Scott Smith Claimant Lawyers(s): Jonathan M. Sterling Respondent(s): Ameriprise Financial Services Respondent Lawyers(s): Howard Klausmeier Arbitrator(s): Steven H. Vogel Hearing Site: Chicago, IL