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 |
|---|---|---|---|---|---|---|---|---|
| Scott Allen Edwards | 2803671 | 2 | 05/31/2017 | Customer Dispute | Award / Judgment | $28,316.00 | $13,652.30 | See FINRA Report |
| Kodi Robert Hermann | 3241432 | 2 | 04/18/2017 | Customer Dispute | Award / Judgment | $9,064.03 | $10,889.00 | See FINRA Report |
| Douglas D Dinzik | 2262066 | 1 | 04/04/2017 | Customer Dispute | Award / Judgment | $20,000.00 | $0.00 | See FINRA Report |
| Michael Fisher | 4056114 | 4 | 03/13/2017 | Customer Dispute | Award / Judgment | $50,000.00 | $0.00 | See FINRA Report |
| Carroll Thomas Clark | 734524 | 2 | 02/02/2017 | Customer Dispute | Award / Judgment | $75,000.00 | $24,158.70 | See FINRA Report |
| Robert Lee Hunt | 1354034 | 3 | 11/14/2016 | Customer Dispute | Award / Judgment | $25,000.00 | $17,847.00 | See FINRA Report |
| Evan Ira Fischer | 1454305 | 4 | 06/27/2016 | Customer Dispute | Award / Judgment | $973,148.00 | $0.00 | See FINRA Report |
| Shannon Kelly Klug | 2451747 | 3 | 10/20/2015 | Customer Dispute | Award / Judgment | $640,000.00 | $0.00 | See FINRA Report |
| Thomas David Sharp | 1623353 | 4 | 02/12/2015 | Customer Dispute | Award / Judgment | $40,333.80 | $0.00 | See FINRA Report |
| Donald Michael Acker | 2263538 | 1 | 07/07/2014 | Customer Dispute | Award / Judgment | $200,000.00 | $0.00 | See FINRA Report |