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 |
|---|---|---|---|---|---|---|---|---|
| Terry Jue | 3128869 | 2 | 02/22/2006 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Mark Steven Marshall | 1989127 | 3 | 02/13/2006 | Customer Dispute | Closed-No Action | $263,000.00 | $0.00 | See FINRA Report |
| Benjamin Ira Bernstein | 4465963 | 5 | 01/03/2006 | Customer Dispute | Closed-No Action | $17,300.00 | $0.00 | See FINRA Report |
| Duc Tien Tran | 3095273 | 6 | 12/30/2005 | Customer Dispute | Closed-No Action | $31,520.20 | $0.00 | See FINRA Report |
| Marilyn Kay Horn | 813265 | 1 | 12/23/2005 | Customer Dispute | Closed-No Action | $343,000.00 | $0.00 | See FINRA Report |
| Stephen Archer Williams | 1572668 | 4 | 12/08/2005 | Customer Dispute | Closed-No Action | $200,000.00 | $0.00 | See FINRA Report |
| Michael Mark Eisenmenger | 2507366 | 4 | 10/10/2005 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
| John Joseph Hlivko | 2005606 | 3 | 09/28/2005 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Kenneth John Williams | 3023623 | 1 | 09/21/2005 | Customer Dispute | Closed-No Action | $8,275.18 | $0.00 | See FINRA Report |
| Joseph Martin Liana | 4049875 | 3 | 09/20/2005 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |