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 |
|---|---|---|---|---|---|---|---|---|
| Patrick Reid Buchanan | 1963277 | 1 | 12/10/2002 | Customer Dispute | Closed-No Action | $271,000.00 | $0.00 | See FINRA Report |
| Harry Pappas | 1370754 | 4 | 12/02/2002 | Customer Dispute | Closed-No Action | $689,000.00 | $0.00 | See FINRA Report |
| Steven Roy Isaacson | 2025949 | 2 | 11/18/2002 | Customer Dispute | Closed-No Action | $33,245.90 | $0.00 | See FINRA Report |
| Benjamin Jay Silberman | 2564605 | 1 | 10/29/2002 | Customer Dispute | Closed-No Action | $24,000.00 | $0.00 | See FINRA Report |
| Douglas Paul Scalard | 2946279 | 2 | 10/04/2002 | Customer Dispute | Closed-No Action | $90,000.00 | $0.00 | See FINRA Report |
| Daniel James Dole | 3032749 | 2 | 10/03/2002 | Customer Dispute | Closed-No Action | $142,000.00 | $0.00 | See FINRA Report |
| Mark Yukio Kobayashi | 1175251 | 2 | 09/16/2002 | Customer Dispute | Closed-No Action | $343,000.00 | $0.00 | See FINRA Report |
| Robert Reed Mendelson | 807075 | 1 | 08/30/2002 | Customer Dispute | Closed-No Action | $18,500.00 | $0.00 | See FINRA Report |
| John Joseph Zangari | 1853770 | 3 | 08/30/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Mason Jay Haugland | 1285794 | 1 | 07/11/2002 | Customer Dispute | Closed-No Action | $6,100.00 | $0.00 | See FINRA Report |