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 |
|---|---|---|---|---|---|---|---|---|
| Michael Brian Sprenger | 2507272 | 2 | 11/05/1999 | Customer Dispute | Closed-No Action | $50,000.00 | $0.00 | See FINRA Report |
| Steven Thomas King | 2403479 | 2 | 09/23/1999 | Customer Dispute | Closed-No Action | $150,000.00 | $0.00 | See FINRA Report |
| Stephen Joseph Gesualdi | 1913247 | 3 | 09/01/1999 | Customer Dispute | Closed-No Action | $72,500.00 | $0.00 | See FINRA Report |
| Emmett Russell Ray | 2384270 | 3 | 08/02/1999 | Customer Dispute | Closed-No Action | $18,000.00 | $0.00 | See FINRA Report |
| Ira Jeffrey Musiker | 2165319 | 3 | 05/20/1999 | Customer Dispute | Closed-No Action | $30,000.00 | $0.00 | See FINRA Report |
| Robert William Allen | 2359596 | 1 | 04/29/1999 | Customer Dispute | Closed-No Action | $50,499.20 | $0.00 | See FINRA Report |
| Robert Lawrence Waxman | 726016 | 1 | 03/23/1999 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Ira Jeffrey Musiker | 2165319 | 3 | 02/26/1999 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Patricia Ann Koney | 1575184 | 1 | 02/03/1999 | Customer Dispute | Closed-No Action | $26,911.60 | $0.00 | See FINRA Report |
| Robert Henry Bastiaans | 838778 | 2 | 01/18/1999 | Customer Dispute | Closed-No Action | $49,497.20 | $0.00 | See FINRA Report |