Our Staff has compiled our research into a database of FINRA Broker Disclosures for Ameriprise Financial Services, LLC. 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 |
|---|---|---|---|---|---|---|---|---|
| Shawn David Bumgardner | 2492380 | 3 | 10/04/2022 | Customer Dispute | Award / Judgment | $500,000.00 | $0.00 | See FINRA Report |
| Kalle Jaan Ruga | 4103649 | 2 | 06/29/2021 | Customer Dispute | Award / Judgment | $20,971.40 | $0.00 | See FINRA Report |
| Angela McCarthy | 2266562 | 1 | 09/18/2020 | Customer Dispute | Award / Judgment | $79,309.00 | $0.00 | See FINRA Report |
| John Francis Lynch | 1806466 | 1 | 09/04/2019 | Customer Dispute | Award / Judgment | $6,250.00 | $6,575.00 | See FINRA Report |
| Vernos Kenneth Williams | 4874225 | 2 | 05/08/2019 | Customer Dispute | Award / Judgment | $40,459.00 | $0.00 | See FINRA Report |
| Mitchell William Black | 4664345 | 6 | 03/05/2019 | Customer Dispute | Award / Judgment | $0.00 | $450.00 | See FINRA Report |
| Michael Fisher | 4056114 | 6 | 09/17/2018 | Customer Dispute | Award / Judgment | $50,000.00 | $0.00 | See FINRA Report |
| Scott Alan Sanders | 3063288 | 3 | 07/09/2018 | Customer Dispute | Award / Judgment | $193,281.00 | $0.00 | See FINRA Report |
| Joseph Anthony Rowe | 4403147 | 11 | 02/21/2018 | Customer Dispute | Award / Judgment | $15,321.30 | $15,533.80 | See FINRA Report |
| Michael Anthony Lipscomb | 2286249 | 8 | 11/29/2017 | Customer Dispute | Award / Judgment | $46,006.00 | $0.00 | See FINRA Report |