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 Patrick Foy | 1174654 | 1 | 12/01/2000 | Customer Dispute | Closed-No Action | $170,000.00 | $0.00 | See FINRA Report |
| William Michael Steele | 2019042 | 2 | 11/10/2000 | Customer Dispute | Closed-No Action | $120,000.00 | $0.00 | See FINRA Report |
| Mary Beth Norris | 1189102 | 4 | 10/30/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Robert Scott Judge | 1487303 | 2 | 10/30/2000 | Customer Dispute | Closed-No Action | $69,000.00 | $0.00 | See FINRA Report |
| Thomas Pettinger Shortreed | 2980611 | 1 | 08/29/2000 | Customer Dispute | Closed-No Action | $8,000.00 | $0.00 | See FINRA Report |
| Vincent Michael Magee | 2720508 | 7 | 06/29/2000 | Customer Dispute | Closed-No Action | $6,000.00 | $0.00 | See FINRA Report |
| Michael Jay Pepe | 1172861 | 9 | 06/07/2000 | Customer Dispute | Closed-No Action | $88,890.80 | $0.00 | See FINRA Report |
| Michelle Robyn Harf-Grim | 2416573 | 1 | 03/20/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Vincent Peter Dotterweich | 2267494 | 1 | 02/23/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Ronald John Haley | 2395105 | 1 | 01/06/2000 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |