Our Staff has compiled our research into a database of FINRA Broker Disclosures for Riversource Distributors, Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Johann Valmer Helback | 3151612 | 6 | 05/10/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas Anthony Willenbring | 3169128 | 2 | 10/20/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Johann Valmer Helback | 3151612 | 6 | 07/16/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tammy Kaufman | 4634849 | 2 | 06/26/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William T Reed | 6109000 | 1 | 06/13/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Scott Earl Meyer | 2633544 | 1 | 10/26/2006 | Customer Dispute | Denied | $12,000.00 | $0.00 | See FINRA Report |
| Jessica Rose Karels | 4540568 | 8 | 08/15/2005 | Customer Dispute | Closed-No Action | $10,301.50 | $0.00 | See FINRA Report |
| Todd Anthony Baker | 3149853 | 1 | 04/04/2003 | Customer Dispute | Settled | $145,000.00 | $0.00 | See FINRA Report |
| Vibha J Rawal | 2812955 | 2 | 08/15/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jamea Jackson | 6792908 | 1 | 11/26/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |