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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Michael Sullivan | 723427 | 7 | 03/02/1992 | Customer Dispute | Award / Judgment | $76,484.00 | $61,375.00 | See FINRA Report |
| Robert Frank Bokern | 1267842 | 1 | 02/28/1992 | Customer Dispute | Award / Judgment | $0.00 | $6,336.25 | See FINRA Report |
| Marc Frederick Strasser | 1044685 | 4 | 11/08/1991 | Customer Dispute | Award / Judgment | $10,000.00 | $10,285.00 | See FINRA Report |
| Donald Charles Heaney | 1472828 | 2 | 08/26/1991 | Customer Dispute | Award / Judgment | $4,500.00 | $1,752.00 | See FINRA Report |
| John Meade Thrower | 1356034 | 3 | 10/19/1990 | Customer Dispute | Award / Judgment | $37,500.00 | $57,102.00 | See FINRA Report |
| Robert Gregory Mennona | 1232328 | 5 | 06/04/1990 | Customer Dispute | Award / Judgment | $597,195.00 | $74,932.00 | See FINRA Report |
| Robert Keith Incaprera | 1064833 | 6 | 04/01/1990 | Customer Dispute | Award / Judgment | $100,000.00 | $65,000.00 | See FINRA Report |
| John Devers Hursh | 1083427 | 2 | 03/27/1990 | Customer Dispute | Award / Judgment | $2,500.00 | $575.00 | See FINRA Report |
| Robert Bruce Cline | 824874 | 7 | 01/01/1990 | Customer Dispute | Award / Judgment | $34,500.00 | $5,660.00 | See FINRA Report |
| Norman Arnold Robbins | 731352 | 7 | 12/26/1989 | Customer Dispute | Award / Judgment | $20,000.00 | $2,327.90 | See FINRA Report |