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 |
|---|---|---|---|---|---|---|---|---|
| Zakkour H Chivi | 1987360 | 6 | 06/03/2014 | Customer Dispute | Award / Judgment | $346,881.00 | $0.00 | See FINRA Report |
| Richard Joseph Nabasny | 2656160 | 1 | 12/12/2013 | Customer Dispute | Award / Judgment | $2,731.00 | $1,082.50 | See FINRA Report |
| 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 |
| David Joseph James | 6020373 | 1 | 12/05/2012 | Customer Dispute | Award / Judgment | $5,079.85 | $50.00 | 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 | 7 | 07/10/2012 | Customer Dispute | Award / Judgment | $47,449.30 | $39,802.70 | See FINRA Report |