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FINRA Broker Disclosures for Ameriprise Financial Services, LLC

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.

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Displaying 11-20 out of 103 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Michael Anthony Lipscomb2286249811/29/2017Customer DisputeAward / Judgment$0.00$0.00See FINRA Report
Scott Allen Edwards2803671205/31/2017Customer DisputeAward / Judgment$28,316.00$13,652.30See FINRA Report
Douglas D Dinzik2262066104/04/2017Customer DisputeAward / Judgment$20,000.00$0.00See FINRA Report
Michael Fisher4056114603/13/2017Customer DisputeAward / Judgment$50,000.00$0.00See FINRA Report
Carroll Thomas Clark734524202/02/2017Customer DisputeAward / Judgment$75,000.00$24,158.70See FINRA Report
Evan Ira Fischer1454305406/27/2016Customer DisputeAward / Judgment$973,148.00$0.00See FINRA Report
Shannon Kelly Klug2451747310/20/2015Customer DisputeAward / Judgment$640,000.00$0.00See FINRA Report
Donald Michael Acker2263538107/07/2014Customer DisputeAward / Judgment$200,000.00$0.00See FINRA Report
Zakkour H Chivi1987360606/03/2014Customer DisputeAward / Judgment$346,881.00$0.00See FINRA Report
Richard Joseph Nabasny2656160112/12/2013Customer DisputeAward / Judgment$2,731.00$1,082.50See FINRA Report

103 Results

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