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 |
|---|---|---|---|---|---|---|---|---|
| Joanne Ritsuko Watanabe | 2216093 | 1 | 07/15/2013 | Customer Dispute | Award / Judgment | $25,000.00 | $17,322.90 | See FINRA Report |
| Justin Andrew Montandon | 4455879 | 2 | 05/23/2013 | Customer Dispute | Award / Judgment | $0.00 | $137,709.00 | See FINRA Report |
| Andrew A Drost | 2466963 | 3 | 03/15/2013 | Customer Dispute | Award / Judgment | $42,000.00 | $0.00 | See FINRA Report |
| Jean-Charles Fereydoun Lebours | 5128044 | 1 | 01/28/2013 | Customer Dispute | Award / Judgment | $50,000.00 | $0.00 | See FINRA Report |
| Dennis James Kreiner | 874520 | 1 | 12/27/2012 | Customer Dispute | Award / Judgment | $50,000.00 | $0.00 | See FINRA Report |
| Jason Leonard Garofalo | 3008935 | 2 | 09/12/2012 | Customer Dispute | Award / Judgment | $668,000.00 | $0.00 | See FINRA Report |
| Daryl F Devillier | 4069344 | 8 | 07/10/2012 | Customer Dispute | Award / Judgment | $47,449.30 | $39,802.70 | See FINRA Report |
| Vivian Wenling Chang | 2837375 | 2 | 05/14/2012 | Customer Dispute | Award / Judgment | $50,000.00 | $32,526.40 | See FINRA Report |
| Brett Michael MacAuley | 2328417 | 2 | 02/27/2012 | Customer Dispute | Award / Judgment | $1,797,220.00 | $1,165,880.00 | See FINRA Report |
| John Hughes | 2504423 | 2 | 02/24/2012 | Customer Dispute | Award / Judgment | $23,462.00 | $19,535.10 | See FINRA Report |